criteria: (1) establish conditions and controls relating to information security in an agreement signed by both parties; (2) monitor, evaluate, review and audit service delivery of the outsourcee regularly

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

ดำเนินการตามข้อตกลงที่กำหนดไว้ใน service level agreement (ง) ความมีประสิทธิภาพของการนำเทคโนโลยีสารสนเทศมาใช้ เช่น การติดตามระยะเวลาในการปฏิบัติงานที่ลดลงภายหลังการนำเทคโนโลยีมาปรับปรุงกระบวนการทำงาน และ

, compiling, processing, storing and retrieving information related to obligation repayment and cautious delivery of the underlying goods (if any); (4) a system for custody of assets of service users by

[i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

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

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

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By