representative office abroad .................................................................................................................................................... 3.2 Having a work plan for

procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency

of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for

to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of

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

abroad include the followings: 3.1 Information on the plan and scope of business operation, including the plan for seeking an approval from the relevant foreign regulator; 3.2 Information on the work

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles

Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately