clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

applicable) ผู้ซื้อ/ ผู้รับโอน โปรดระบุชื่อ/ความสัมพันธ์ 5 Purchaser/ Transferee (Specify name and relationship) จำนวน (Amount) ราคาเฉลี่ย (Average price) ผู้จัดทำ / Reporter หุ้นสามัญ (common share) หุ้น

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

intends to share the branch manager with other full-service branch offices such securities company shall submit the application together with document evidence showing the details of management plan and

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from

กรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงานเทคโนโลยีสารสนเทศจากผู้ให้บริการรายอื่น (IT Outsourcing