business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The
the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no