unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain evidence regarding securities trading and maintain

maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain

operations and exposures in commodities • Impairment issues • Heightened cost controls at audit clients • Governance challenges (cannot get or retain strong directors) Layoffs Reduced  capacity Audit fee

, as well as adequate measures to keep information of members and their clients confidential. Clause 18 To protect public interest and investors’ rights, a derivatives exchange shall disclose information

bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate

and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider

to weak spending affecting mobile operators to maintain offering low-unlimited plans to keep their customer base. In addition, as mobile operators have attempted to increase their 5G adoption, there

maintain the readiness of important systems of securities clearing houses and central securities depositories so that they can operate continuously; (5) disclosure of information in a clear, transparent, and

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial