for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

) Having backup system and measures for emergency situation to prevent the extended discontinuing of operation. 1.1.2 Document and Information Security Having adequate security system for document and

Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision

satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an

managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a

Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party _____________________ By virtue of Section 16/6 and Section 113

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