data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance

repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by

a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC

: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management

substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application

in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping

and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification