) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already
information security; (3) define the recovery time objective (RTO) for information system and its priority to be recovered based on its criticality and potential impact; (4) consider redundant information
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider
เสี่ยงเกี่ยวกับความปลอดภัยทรัพย์สิน (damage of physical assets) 6. ความเสี่ยงจากความขัดข้อง หยุดชะงักธุรกิจ และระบบคอมพิวเตอร์ (business disruption and system failure) 7. ความเสี่ยงจากการปฏิบัติงานและ การ
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days from the date of
regulations or conditions related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days