Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3
to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification