securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
หนี้ไทย ให้แสดงชื่อย่อภาษาอังกฤษ พร้อมทั้งระบุประเภทของหลักทรัพย์นั้นนำหน้าชื่อย่อดังกล่าว เช่น หุ้นจดทะเบียน-BBL เป็นต้น - ในกรณีที่เป็นหลักทรัพย์หรือทรัพย์สินอื่น ให้ใช้ชื่อเต็มภาษาไทย พร้อมทั้งระบุ
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research
size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
15% - 20% 5 BBL, PSL, UV, SINGER, NFS 10% - 15% 3 SCC, BROOK, AA 5% - 10% 20 TFB, TASCO, ROINET, TNS, SSC, EGCOMP, CPN, LH, CPL, AH, MATI, NMG, CTW, PATKOL, ROJANA, TUF, SUSCO, RAIMON, KWH, PA น้อยกว่า
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords