securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units

the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board

following matters: 1.1 Vision, objectives, goals and operational strategies Provide as much information as deemed appropriate on the vision, objectives, goals and operational strategies of the Company or the

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram

case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the

Office of Securities and Exchange No. SorThor/Nor. 34/2547 Re: Operational Control and Security for Information Technology of a Securities Company dated 20 July 2004 and The Notification of the Office of