the audit firm who has an influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and
10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Additional Guidelines 1
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 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 Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for 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 Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...