intermediary shall be conformed to Chapter 1; (2) the outsourcing of operational function to service providers shall be conformed to Chapter 2; (3) the outsourcing of operational function other than sub clause

the following rules: (1) establish a policy, measures and procedures for outsourcing operational function to a service provider in accordance with the rules prescribed in Chapter 1; (2) outsource the

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

Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of

necessary service cause a risk to the security system, it shall provide additional preventing measure. [M] · Installing a necessary path of the importance operational system in order to fill consistently a

companies may participate in the test, mutually observe or let the main service providers notify the BCP test to companies. Division 9 Examples of emergency incidents which may cause major operational

Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this Notification, “Fund” means any mutual fund or

Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision

law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for

undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch