reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with
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
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units, services or the operation of fund management, or