นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) PAGE - 2 - ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ อธ./น. 5/2547 เรื่อง แนวทางปฏิบัติในการควบคุมการปฏิบัติงาน

นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) เอกสารประกอบการ public hearing ร่างข้อบังคับและแนวทางปฏิบัติด้านเทคโนโลยีสารสนเทศ PAGE - 30 - เอกสารประกอบการ public hearing ร่าง

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

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the

control and information technology security as specified in the notification of the SEC Office. Clause 8. Derivatives broker shall arrange to have independent director of at least one out of four directors

guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the

with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to

security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on securities trading and

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No