Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
include “private fund management company”. ** These sub clauses have been modified by the Notification of the Capital Market Supervisory Board No. TorThor. 24/2557 Re: Rules, Conditions and Procedures for
, e.g. commission, exercise fee, etc. These charges add to the Client’s investment costs and will affect loss and gain as well as the Client’s investment decision. Commission may vary depending on type
systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change
its employee to comply with this Notification and the code of conduct prescribed by the securities company for the implementation of this Notification. Clause 25/1. In addition to these specific rules
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
associated with systems assets or equipment assets shall be identified and inventory of these assets should be drawn up and maintained. Such inventory shall be reviewed at least once a year or upon any