Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the

assets . For the purpose of (4) in the first paragraph, the term “ information processing facilities ” means any equipment, operating systems, or infrastructure that are necessary or facilitate data

Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

and IT Contingency Plan. Compliance Guideline 1. information and computer system backup 1.1 Backup · Backup the importance business information include operating system, application system and mandate

operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with the accounting standards on disclosure of financial information as

business group, disclose information of the shareholders of the central company, the subsidiary operating the core business not under the central company and the subsidiaries within the group of the central

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities

Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and