technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
Clause 6 and Clause 6/1 has been complied with the specified regulations, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able
names, please also indicate their former names): 1) ………………………………. year of birth B.E. ……………... 2) ………………………………. year of birth B.E. ……………... 3) ………………………………. year of birth B.E. ……………... 2.8 Address appeared
shall update the list within 14 days as from the date of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed
of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed or assigned to perform functions [of the positions
appeared in the census registration: Address No. …….………... Moo No. ………….... Trok/Soi ………......…. Road …………….... Tambol/Subdistrict …………... Amphur/District ……. Province …………… Postal code ……..…….. Telephone
that outsource its function to service provider managing payment information for securities trading. Clause 20 In case there is a certain fact appeared to the SEC Office that an intermediary violates or
be appeared on the computer screen when unattended or not in use. 8. Operations security 8.1 Operational procedures and responsibilities Objective: To ensure correct and secure operation relating to