least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities underwriting which is not limited to debt
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
TSFC Securities Limited, or invest in other investment specified in the notification of the SEC Office, with a statement in such bank deposits or promissory notes or investment, clearly specified that
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7