from the date on which the disruption occurs. Once the major operational disruption ends, intermediaries shall notify the SEC without delay. Clause 10 Intermediaries shall keep documents and evidence

(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant

disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the

เสี่ยงเกี่ยวกับความปลอดภัยทรัพย์สิน (damage of physical assets) 6. ความเสี่ยงจากความขัดข้อง หยุดชะงักธุรกิจ และระบบคอมพิวเตอร์ (business disruption and system failure) 7. ความเสี่ยงจากการปฏิบัติงานและ การ

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or

ประโยชน์ไม่ได้จะมีความเสี่ยงสูงกว่า เนื่องจากอาจเกิดกรณี project delay หรือ cost overrun 4. การแบ่งชนิดของหน่วยลงทุน (กอง infrastructure fund) เช่น หน่วยลงทุนชนิดคล้ายทุน (equity tranche)  มีความเสี่ยงสูง

client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by

of time without delay. Clause 6. Any securities company which has an executive with prohibited characteristics as specified in Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or as

retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory