information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples

required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action

on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that

the process of running automated tools against defined IP addresses or IP ranges to identify known vulnerabilities in the CS environment. A report is generated and IT team will assess and manage system

ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบสารสนเทศ (incident report) ให้กับสำนักงานตามที่กำหนดในประกาศว่าด้วยการจัดให้มีระบบเทคโนโลยีสารสนเทศ โดยหนังสือฉบับนี้ ข้าพเจ้าและตัวแทนสมาชิกทุกคน (“ตัวแทนสมา

maintenance) 2.11 การใช้บริการระบบสารสนเทศจากผู้รับดำเนินการ (IT outsourcing) 2.12 การบริหารจัดการเหตุการณ์ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัยของ ระบบสารสนเทศ (information security incident management) 2.13

……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business