securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (4) having a recording system regarding trading information, especially information
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
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
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
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
company shall perform as follows: (1) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of