Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this Notification, “Fund” means any mutual fund or
, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
environment in accordance with the manufacturer’s instructions (if any); 2.5 establish security procedures for physical media transfer from the operating areas. 5. Access Control 5.1 Business Requirements of
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4