technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as

Clause 29, the removal shall begin when [i] the court has made final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the

shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under Clause 29, the removal shall begin when [i] the court has made

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

against unauthorized disclosure, modification, removal or destruction of sensitive information stored on media. Clause 18 An intermediary shall establish physical and environmental security measures to

the Securities and Exchange Act B.E. 2535 (1992) or was removed under the provisions of other laws: O Yes (please specify) For example, date of removal…………………………………………..… By company/office

competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of

removal of the director of the company (d) Changes in the capital structure of the company e.g. increase and reduction of paid-up capital, offering of shares without pre-emptive right, debt restructuring

educational qualifications, experiences and training for performing such duties; (3) Clarify whether the appointment, removal and transfer of the head of the internal audit unit requires the Audit Committee’s

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3