Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
the application for approval within forty‑five days from the date of receiving the application together with correct and complete document evidences. Clause 3. In the capacity of an investment advisory
undertaking of any business or bankrupt, a receiver, a liquidator or any other person empowered by law to act in the similar capacity as the aforementioned persons, as the case may be, shall undertake necessary
, for example, resignation of key IT personnel, insufficient budget or demand for resources exceeding the specified level in the capacity plan; (5) assignment of roles and responsibilities of the
characteristics or become unsuitable to operate the outsourced function in accordance with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification. Clause 5 This
สาธารณะ ต้องได้รับการเข้ารหัส (encryption) ที่เป็นมาตรฐานสากล เช่น การใช้ SSL การใช้ VPN เป็นต้น [M] · ต้องมีมาตรการควบคุมความถูกต้องของข้อมูลที่จัดเก็บ (storage) นำเข้า (input) ประมวลผล (operate) และแสดงผล
under the law on undertaking of finance business, securities business, and credit foncier business (FC.); □ a securities company under the law on securities and exchange (SC.) licensed to operate
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or