with standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment
follows: (1) having an agreement, in writing, for appointment of a representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to
operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under Paragraph 1 to
a derivatives broker which has ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require
ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
of derivatives trading of each customer in writing, whether in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the
of the maintenance margin. Clause 6. Derivatives broker shall prepare the confirmation statement, the evidence of margin call and the account of derivatives trading of each customer in writing, whether