securities in the Stock Exchange through the Securities Trading System set up by the Stock Exchange; “Stock Exchange” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and

ถือหุ้นล่าสุดที่ได้ จากระบบบริการข้อมูลหลักทรัพย์แบบบอกรับสมาชิก (SET Information Management System) หรือ “SIMS” และในกรณีที่บริษัทจัดการหรือบุคคลตาม (ก) มิได้เป็นบริษัทที่มีหลักทรัพย์จดทะเบียน ใน

establishment of full-service branch office or online branch office to the Office prior to the date the branch office starts its operation in accordance with the format set out in an electronic system of the

the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch

Period of Retention Application Logs User IDs, IP Addresses, Dates and Times. In case of the securities trading system, the details shall include: Securities Symbol, Broker Numbers (4-digit), SET Order IDs

at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to

shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11

securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information

effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and