personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
which contains at least material information in the following matters: (1) duties and responsibilities of a service provider which include one of the following details: (a) liability to the intermediary
: (a) liability to the intermediary as a result of the service provider acting or omitting to act intentionally or negligently; (b) measures and arrangements for business continuity of the service
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and
strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9