investment decision accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by

decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an

: 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

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities

of Foreign Auditors in the Capital Market (Fast Track) Clause 6(2) of the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 Re: Approval of Foreign Auditors in

Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the

reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in

เพื่อให้สามารถเป็นผู้สอบบัญชีของกิจการที่กำหนดตามพระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ พ.ศ. 2535 และพระราชบัญญัติ ทรัสต์เพื่อธุรกรรมในตลาดทุน พ.ศ. 2550 q กรณีปกติ q กรณี fast track ข้าพเจ้าขอรับรองว่า

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

that all information provided in this application and its attachments are true and correct. Full name as per Passport Signature Date signed (DD/MM/YYYY) Fast Track ISQC1 Paragraph 12 Network – A larger