service provider terminates contract or the service provider can no longer provide service for derivatives broker. Clause 10. Derivatives broker shall require service provider to keep, complete and update
securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
each mutual fund, which shall be submitted as per Form 117-8 attached to this Notification within fourteen days from the next following date after such mutual fund manager commences or terminates such
practical for property fund managers’ lines of work such as Investment in Real Estate, Real Estate Project Development, Strategic Planning of the Projects, Real Estate Management, Consulting for Real Estate
matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
in practice and for the Office to inspect such practical operation. Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of April 2004. -Signature- (Mr. Somkid
issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office to inspect such implementation
Notification concerning the practical implications for securities companies to ensure that there is no adverse impact on the operations of securities companies, to uphold the integrity and stability of the