should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information

: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21

insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk

companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once