September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest

Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support