the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider
and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and
capable of operating continuously, correctly and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall
system provider specifically to only those who have granted approval under the notification concerning support system provider ; (5) service provider managing payment information for securities trading
support system provider; (5) service provider managing payment information for securities trading approved by the SEC office on conditions, rules and procedures specified by the Office; 4 Repealed by the
guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology