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

estate or leasehold right of Property Fund for Solving Financial Institution Problems or Property and Loan Fund; (5) “Register of Persons Qualified to be Property Fund Manager” means the list of persons

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and

in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities

power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network

characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of

ฐานการใช้งานแฟ้มข้อมูล (audit log)* บัญชีผู้ใช้งาน / วันเวลาที่เข้าใช้งาน / บันทึกการเรียกดูและการแก้ไขข้อมูล ไม่น้อยกว่า 6 เดือน หลักฐานการบริหาร (event log) ระบบปฏิบัติการ และ network firewall วันและ