governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of

registrar and the competent official, issue ministerial regulations, and prescribe other tasks to implement this Act. Ministerial regulations shall be enforceable upon their publication in the Government

less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the

technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the

การเข้ารหัสข้อมูล (key management) [ ข้อ 6 แนวปฏิบัติ 1 ] บลจ.เอ็มเอฟซี ไม่เห็นด้วย ทั้งนี้ อาจจะต้องกำหนดให้ชัดเจน เรื่องการ implement รูปแบบนี้กับบริการระบบใดบ้าง และเนื้อหาในรายละเอียดของแต่ละบริการ

Systems: Does the firm provide services to design provide or implement IT systems to audit client? If so, does this include accounting systems or relating to the production of financial statements 3

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of

intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter;  (3) investor or client who uses services related to

, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such

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...