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

applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

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

copy is required. (7) Photocopy of an evidence of certified public accountant. Signature of the applicant to certify true copy is required. (8) Photocopy of an evidence of registration as an auditor with

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of