documentation on an annual basis. 12 Has the firm developed or adopted other quality control materials? If “yes,” describe those materials: 28

: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact

are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management

opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...