CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall ensure that the information technology governance
: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated
) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is] financial
Derivatives Broker (No. 2) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9