. 2475 (1932), and the Local Development Tax Act, B.E. 2508 (1965), which were deemed unsuited to the present circumstances, leading to social inequality. The new law came into force on March 13, 2019
transaction, the intermediary shall not present other services related to such risky or complex capital market product. Clause 32 In providing services of investment analysis or consultation relating to risky
entering into the transaction, the intermediary shall not present other services related to such risky or complex capital market product. Clause 32 In providing services of investment analysis or
Commission SorThor/Nor. 34/2547 Re: Operational Control and Information Technology Security of Securities Companies 20/07/2004 01/02/2005 2. Notification of the Office of the Securities and Exchange
4 ร้อยละของมูลค่าธุรกรรมของลูกค้ารายย่อย https://publish.sec.or.th/nrs/9645p.xlsx securities-ITchecklist.xlsx security) (2) การบริหารจัดการบุคลากร และบุคคลภายนอก (3) การบริหารจัดการทรัพย์สินด้าน IT
-security basis, (2) Implementing an Auction trading method for securities under Trading Alert, Level 2 or higher, and (3) Implementing an Auto Pause on a per-security basis upon an abnormally high volume of
regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is independent from the responsible IT Unit before commencing service