been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

which keeps records of securities purchasing or selling transactions other than those recorded in a margin account ; (4) “ securities depository center ” means a securities depository center under the law

for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5