year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre . Clause 6. The securities company shall

controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work

that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside

characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to