provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

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

significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has

assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases

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.

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

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

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

accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets