, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
(user ID) และรหัสผ่าน (password) รวมทั้งข้อมูลส่วนบุคคลที่อาจนำมาใช้เพื่อขอเปลี่ยนแปลงข้อมูลบัญชีการใช้งานระบบได้ (accountable for safeguard) 5.4 การควบคุมการเข้าถึงระบบสารสนเทศและโปรแกรมประยุกต์ (system
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.
intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly trading