Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
Cryptographic Control; 2.7 Physical and Environmental Security; 2.8 Operations Security; 2.9 Communications Security; 2.10 System Acquisition, Development and Maintenance; 2.11 IT Outsourcing; 2.12 Information
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
(cryptographic control) 2.7 การสร้างความมั่นคงปลอดภัยด้านกายภาพและสภาพแวดล้อม (physical and environmental security) 2.8 การรักษาความมั่นคงปลอดภัยในการปฏิบัติงานที่เกี่ยวข้องกับระบบสารสนเทศ (operations security
suspending all trading temporality. Division 4 Companies should determine a recovery objective to restore normal operations 4.1 Companies should determine a recovery time to restore normal operation (Recovery
following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations