Outsourcing Non-central Utility Function ______________________________ 6 Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the
Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas the securities company may
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By virtue of Clause 27/1 of the
the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider
intermediary / financial advisor ……………………………………………………………………………………………………………… Back office service provider (outsourced). Please specify the name of the outsourcing company
the case may be. “support system provider”4 means a person approved to be a support system provider under the notification concerning support system provider. “support system”4 means support system
parties and internal parties, for example, submission of incident reports to the SEC Office upon an occurrence of an event that affects the IT systems or monitoring of the service provider to ensure that