, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
derivatives broker is for client's benefit. In the case where the derivatives broker deposits or invests in assets under Paragraph 1(1) or (4) but later the credit rating is changed, if the derivatives broker
report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars
without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be
(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...
the material facts of any data stated in this form or the form of curriculum vitae certification (form 104-2/Or Por 24-2) have been changed, the company shall inform the Office within seven days from
person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a