32/2552 03/08/2009 01/09/2009 2. Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 34/2547 Re: Operational Control and Information Technology Security of Securities
. 61/2543 Rules, Conditions and Procedures for Operational Control in Securities Underwriting 23/11/2000 01/01/2001 2. Notification of the Securities and Exchange Commission KorChor. 9/2555
remain in accordance with the rules regarding outsourced function as prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, including the operational
rules regarding outsourced function as prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, including the operational guidance specified by the
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
Bangkok, August 9, 2012 ? The SEC defines trust as securities issuer under the Securities and Exchange Act of 1992 in order to form clearer scope of duties and responsibilities of trust, trustee and