securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives broker investing in
: ________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal form of NRI CIS: Legal entity Unit trust Any other structure acceptable to participating jurisdictions 5) Type
other guideline is capable of efficiently preventing risk in information technology of the securities company with an acceptable standard for operational control and information technology security of
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary