of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and
place an efficient risk system for the management of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a
REIT entrusted by the Trustee, the REIT manager shall provide qualitative and capable operating systems to support the work under its responsibility entirely. In this regard, the systems shall comprise
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
1 - TRANSLATION - VS/PC (Q-Con) 004/2018 February 1st , 2018. Attention Managing Director The Stock Exchange of Thailand Subject : Management Discussion and Analysis for year 2017 Quality
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent