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
........); ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph........); ( 5.4 Correction of previous year’s material misstatement in
regulatory action (paragraph number......) ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph number........) ( 5.4 Amendment of
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
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
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
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
หรือแก้ไขเปลี่ยนแปลง ขั้นตอนในการทดสอบ และขั้นตอน ในการโอนย้ายระบบงาน [A] · ควรมีขั้นตอนหรือวิธีปฏิบัติในกรณีที่มีการแก้ไขเปลี่ยนแปลงระบบงานคอมพิวเตอร์ในกรณีฉุกเฉิน (emergency change) และควรมีการบันทึก