number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly. Additionally, companies should specify additional communication channels, such as SMS

: ............................................(authorized person) for and on behalf of ................................... Contact person: .................................................... Phone: ......................... E-mail

under Appendix Khor) 2. Having effective internal communication channel within the company that may notify the related persons in due course 3. Preparation of backup information stored in the computer

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax

corruption involvement; (2) Guidelines for controlling, preventing and monitoring corruption-related risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

........................... Contact person: .................................................... Phone: ........................ E-mail:............................ Remarks : 1. In case of domestic branch office, the applicant is

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours

parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1