otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate

) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

security within the organization in order that operation cross-check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function

termination of contract, as the case may be, in the form as specified by the Office in advance. Clause 9. In purchasing investment units under clause 8(3), mutual fund management company shall operate with

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of