guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the

) appropriate guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the

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

replacement of lost important data. 4.3 If companies have used a service from a service provider, companies should cooperate with a service provider in determining a recovery time to restore normal operation

regulatory authority for information technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Clause 11 An intermediary

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

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foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider

or equivalent degree accredited by the Office of the Civil Service Commission and not less than three years of work experience; or 2. Lower than a bachelor’s degree and not less than five years of work