ensure that system acquisition, development, and maintenance of the information systems meet the following criteria: (1) establish information security related requirements in the requirements for new
exchange [large trader], and changes to the derivatives positions of such persons; (d) a real-time derivatives trading surveillance system. Clause 9 A derivatives exchange shall establish sufficient measures
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11
office is able to supervise the operating system and the provision of services of the branch office. Clause 6. In granting permission to establish a branch office, the Office may prescribe conditions on
of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
2. The derivatives business operator shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange
control system and an efficient, independent audit system; (3) establish a risk management committee, which sets out risk management policies and ensures compliance with such policies, comprising persons