year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to

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

valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in accordance with the rules as

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

and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre . Clause 6. The securities company shall

procedure of such systems in written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between

controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office