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
to the securities company. In this regard, the CIS operator shall certify in writing that such information is the same as the one delivered to investors or submitted to home regulator, as the case may
writing to the Court within the time period prescribed by the Court. The application of Class Action to the offence or liability under the Securities and Exchange Act The characteristics, examples and the
provisions of Domestic Law, the Authorities may cooperate: (a) on an ongoing basis or ad hoc; (b) orally or in writing; and (c) upon request or on their own initiative (i.e. without a formal request). 6
include drafting that the determination, in the absence of error, fraud, negligence etc., is binding. The precise drafting would need to be addressed as part of the documentation process prior to issuance