No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities

Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in

and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to

) information technology management and implementation; (6) management of client’s information regarding only collecting, organizing and analyzing the information. In this respect, if such work is related to the

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance