purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal
: (1) to claim damages from a liable trustee; (2) to recover a property from a third person regardless of whether such third person directly acquired such property from the former trustee and whether
accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the
” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and
has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
same day, the reporter shall specify the total amount of securities and derivatives that each purchaser or transferee acquired. If the name of the purchaser or the transferee is unknown, the reporter
allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal management process; (d) monitor and review the users
ที่นี้หมายถึง event log หรือ activity log ที่มาจากการปฏิบัติหน้าที่ของพนักงานฝ่าย IT ที่มีสิทธิเข้าถึงพิเศษ (privileged IT support staff) ใช่หรือไม่ ระบบงานสำคัญให้อ้างอิงจากคำนิยาม “ระบบสารสนเทศที่มี