been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

guideline above. 10.5 Personnel: specify the total number of the Company’s staff and that of each core business. In case of material change in the number of staff or a substantial labor dispute during the

the audit firm …………….…... Note: Signatures of the head and the authorized person of the audit firm are required, together with the audit firm’s seal (if any). Form 61 – 2

an audit firm ………………………………………….. Note : Signatures of the audit firm’s leader and authorized director and the audit firm’s seal (if any) are required.

director with audit firm’s seal (if any) are required every page. Document Checklists for Normal Applicants (Please mark X for all that apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment