” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3

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

relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request

and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr

server device network device etc. in the computer centre or prohibited zone and identifying right for computer centre. [M] · In case of unauthorised person may have a necessary to in the computer centre

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

หยุดชะงัก อาจส่งผลกระทบต่อลูกค้า การดำเนินงาน ธุรกิจ ชื่อเสียง ฐานะ และผลการดำเนินงานของผู้ประกอบธุรกิจ อย่างมีนัยสำคัญ “การใช้งานอุปกรณ์เคลื่อนที่ (mobile device)” หมายถึง การปฏิบัติงานที่มีการใช้

with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office

; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of