been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

qualifications: (1) Having paid up registered capital not less than one hundred million baht; (2) Not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage

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

reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any

, 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

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

shall update the list within 14 days as from the date of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed