minutes of the investment committee meeting. (5) Having rules of practice for investment management in case of the unforeseen situation which may cause negative impact on investment of the client/fund e.g

different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of

requirements for information security and the continuity of information security management in adverse situations; (2) establish procedures, processes and controls to ensure the required level of continuity for

for supporting continuity of operation in various incidents. In doing so, companies may consider on current situations, past testing results or possible impacts. The test and assessment shall, at least

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed

for the securities business account receivable and accrued interests which unexpected to collect within the accounting period In the case of debtor occurring from the corruption of employee and a debtor

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...