Outsourcing Function related to Business Operation to Third Party

Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party

Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their

SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business

reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas

Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing

Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์   แบบสำรวจความคิดเห็น Hearing Home      หลักเกณฑ์เกี่ยวกับการใช้บริการจากผู้ให้บริการภายนอก (Outsourcing) ของบริษัทหลักทรัพย์

business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee

In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business