management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make

properly, define the perimeter of each domain clearly, and control the access to each domain in a secure way; (4) put in place procedures to protect information transfer through computer network systems; (5

any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise

or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the

reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic

law. Division 16 Prohibited Characteristics Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency