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

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall

the conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is unable to maintain such status but intends to continue undertaking the derivatives business as

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit