any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the

efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules

material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or

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

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

shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is

company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition