and internal parties, for example, submission of incident reports to the SEC Office upon an occurrence of an event that affects the IT systems or monitoring of the service provider to ensure that its
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
wishes to cancel the provision of services as securities registrar shall notify the securities issuer of the service cancellation in writing, and shall arrange the delivery of securities and documents
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the