otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational

companies undertaking securities business. There are two types of investor contact , i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to

September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing

quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or

and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific services: (a) investment analysis for capital market

following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause