business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33
3 of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section
certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the
business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision
; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an approval to be a custodian, and the Office may use such information for the
___________________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to the restriction of the rights and liberty of persons which Section 29 in conjunction
(1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 114, Section 115 and Section 116 of the Securities and Exchange Act B.E.2535 (1992), which contain certain