private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake

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

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units

company lacks of qualification under Clause 4 or Clause 12 (1) or (2) or such securities company does not have an efficient operational management, monitoring and supervision system, and record keeping

shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram

following matters: 1.1 Vision, objectives, goals and operational strategies Provide as much information as deemed appropriate on the vision, objectives, goals and operational strategies of the Company or the

Office of Securities and Exchange No. SorThor/Nor. 34/2547 Re: Operational Control and Security for Information Technology of a Securities Company dated 20 July 2004 and The Notification of the Office of

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational