minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

system for retain documents relating to payment to the fund, trade date, and payment out of the fund to the member that is easy to search and secure from unrelated persons and having control on correction

liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a

derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure

classification) เพื่อกำหนดมาตรการ รักษาความมั่นคงปลอดภัย [อ้างอิงจากข้อ 4.2] - การสำรองข้อมูล (backup) [อ้างอิงจากข้อ 8.3] - การควบคุมการเข้ารหัสข้อมูล (cryptographic control) [อ้างอิงจากข้อ 6] 3. การควบคุมดูแล

standard for a Non-Publicly Accountable Entities, such securities company may prepare financial statements following expense classification by function form - single layer, according to the Notification of

reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity

customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the

protect IT assets in accordance with the following criteria: (1) assess security requirement of IT assets based on their results of a risk assessment and criticality; (2) define the secure areas and the