accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully

, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, including not having such offense

, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, including not having such offense

there are weaknesses or inappropriateness for control and good operating practice; (5) arrange an incident response policy in case of any occurrence of a security incident to the information systems; (6

or inappropriateness for control and good operating practice; (5) arrange an incident response policy in case of any occurrence of a security incident to the information systems; 13 (6) define the

or inappropriateness for control and good operating practice; (5) arrange an incident response policy in case of any occurrence of a security incident to the information systems; 13 (6) define the

details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC Office to audit those practices. Clause 29. In case where it appears to the SEC

/1 17 Apart from stated in this, the SEC Office has the power to issue any specify details regarding the issues within this notification. This is to allow the clarification in practice and to allow the

Apart from stated in this, the SEC Office has the power to issue any specify details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC

for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this