underwriting as per the Ministerial Regulations No. 5 (B.E. 2539 (1996)) issued by virtue of the Securities and Exchange Act B.E. 2535 (1992), whether before or after the effective date of this Notification
effective date of this Notification in accordance with such Notification. Clause 6. This Notification shall come into force from 1 January 2004. Notified on this 26th day of December 2003. · Signature – (Mr
November 2001 shall be required to prepare and file the reports for such transactions done prior to the effective date of this Notification in accordance with such Notification. Clause 6. This Notification
2001 shall be required to prepare and file the reports for such transactions done prior to the effective date of this Notification in accordance with such Notification. Clause 6. This Notification shall
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for emergency matters whereby
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
impact analysis and assess potential damages arising from major operational disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations