year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory

, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange

://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

*....................................................….. (................................................……) แบบ EF–1 * หนังสือฉบับนี้ต้องลงนามโดยกรรมการผู้มีอำนาจกระทำการแทนนิติบุคคลเท่านั้น และให้ประทับตรานิติบุคคล (ถ้ามี) http://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc

practice of such contract does not allow the party obliged to deliver goods to be released from the contractual obligations by closing out a derivative position. A contract having the provisions that require

Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide

E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax

) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role