been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

licensed, the licensee shall file an application to return such derivatives business license with the Office prior to the date of such change of shareholding structure together with the application for

prior to the date of such change of shareholding structure together with the application for license of derivative business in the category of which it intends to undertake in accordance with Chapter 2

, 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

the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications

any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be

disclose the list of fund manager of each mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application