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

regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

event of major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information

according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must

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.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

the use of cryptographic controls and key management for protection of sensitive and critical information; (3) policy on the transfer of information within organization’s networks and with external

objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In case where it is necessary to change the operation

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who