ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
of derivatives trading of each customer in writing, whether in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the
of the maintenance margin. Clause 6. Derivatives broker shall prepare the confirmation statement, the evidence of margin call and the account of derivatives trading of each customer in writing, whether
to the securities company. In this regard, the CIS operator shall certify in writing that such information is the same as the one delivered to investors or submitted to home regulator, as the case may
Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560**, as the case may be. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business
dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business transactions. Clause 9 A securities company