explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market

. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed without delay

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a

least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

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

cash or other assets from the derivatives broker upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office. “ qualified liabilities ” mean: (1) liabilities

least once a year. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed

contingent liabilities which require payment by cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office

upon occurrence of any of the following circumstances: (1) when such persons no longer have the qualifications or possesses the prohibited characteristics as prescribed in Clause 12. In case such persons