Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
(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
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
Exchange Act, B.E. 2535 (1992) and Section 133 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999) which contain certain provisions in
to obligations to damage that may be incurred from the provision of services; (5) submitting a report of the results of the experiment and progress of the operation to the SEC Office in accordance with
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to