companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or

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

the reporting plan specified in Paragraph 1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated

and IT Contingency Plan. Compliance Guideline 1. information and computer system backup 1.1 Backup · Backup the importance business information include operating system, application system and mandate

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address

of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of

________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992) , with the approval of the Capital Market Supservisory Board, Section19

virtue of Section 4/1 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchange Act (No. 6) B.E. 2562 (2019 ), and Section 14 of the Securities and Exchange Act (No. 4