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

balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall

management arrangement for the organization of information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating

persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient

.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be

information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating guidelines for the personnel of the intermediary

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that

, 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

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration