the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem

not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct

Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of

ลูกค้าและการมอบหมายงานด้านการจัดการลงทุนให้บุคคลอื่นของ บลจ. จะไม่กำหนดไว้ในประกาศ COI แต่จะมีการกำหนดไว้ในประกาศเกี่ยวกับระบบงานและประกาศเกี่ยวกับการมอบหมายงานแทน 2.2 guideline COI 2.2.1 กำหนดเพิ่มเติม

shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a

operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline