Exchange Commission. The effectiveness of this registration statement neither represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and
representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and Exchange Commission. The effectiveness of this registration statement neither
loophole of program of system software such as DBMS operational system and web server etc.. [M] · Testing the system software related to the security and operation effectiveness prior to installment and
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
names of the executive(s) responsible for the audit quality control in the previous accounting period, together with their opinion on the effectiveness of the audit quality control, the independence in
Notification of Standard Conduct in the part concerning the effectiveness and consistency of the information system in the following matters: (1) governance of enterprise information technology in accordance
operation is in accordance with the terms specified in the service level agreement; (d) effectiveness for adopting new IT system in business operation. For example, monitoring of the operating time after the
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...