underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

the law on life insurance; and (4) a financial institutions established under a specific law. Clause 4 . Without the limitation or restriction to the power of the Board of directors of the SEC under

derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to

systems are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle

of Section 100 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), which contains certain provisions in relation to restriction of rights and liberties of persons which Section 29 in

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of providing services as

shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as