13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
) sufficient control of the user rights to access sensitive or critical information; (3) communication security of organization’s critical operating systems and computer network systems for connection or
connection to the organization’s internal network systems; “ use of mobile device ” means the use of mobile devices in the operation to access the critical information system via direct connection to the
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the
before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of