shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the

and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client

2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its