shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no

…………… Postal code ……..…….. Telephone number …………….... (5) Highest level of education: Degree Major Name of Institution Year of graduation (6) Working experience (during the past five years): Name of Position

/Khet…… Province ………… Postcode ……….. Telephone number …………...... Name of householder …………………… Relationship ……….…… 3. Information on level of education and working experience: 3.1 Highest level of

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager