นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) PAGE - 2 - ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ อธ./น. 5/2547 เรื่อง แนวทางปฏิบัติในการควบคุมการปฏิบัติงาน
นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) เอกสารประกอบการ public hearing ร่างข้อบังคับและแนวทางปฏิบัติด้านเทคโนโลยีสารสนเทศ PAGE - 30 - เอกสารประกอบการ public hearing ร่าง
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the