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
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and
operational system of the Office of the Securities and Exchange Commission. Clause 2. This Notification shall come into force as from 16 August 2007. Notified this 25th day of July 2007. (Mr. Thirachai
dividend payment from IT Q4/2012 operational result. The aforesaid action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section
securities companies and investors. In this respect, SEC will consider detail operational guidelines to be presented to the SEC Board for further consideration. _______________________