business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division

emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to

each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back

management agreement. 3.3.7 Prescription of the contingency plan for emergency cases Objective A management company shall prescribe a plan to prevent and to manage unexpected incident or emergency case which

guideline for emergency change and having record the reason of necessity and given an approval by the authorised person each time. [A] · It shall communicate the detail of such procedure to concerned person

and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and

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...

procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency

invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock