details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of

year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of

and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre . Clause 6. The securities company shall

controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other