as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
Management System for Business Continuity of Intermediaries dated 21 October 2016 (“Notification No. SorThor/Nor. 45/2559”) which specify on the rules for operation systems capable to support business
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public 4 Amended by the Notification of the Capital Market Supervisory
electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other
submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange Commission concerning
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive