securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

the capability of the derivatives broker in undertaking derivatives business continuously, the derivatives broker shall set up an implementation plan or measures in the case where derivatives broker or

objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

Office” means a securities company’s branch office in Thailand that provides services through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and

tests as such have achieved goals set by companies in aspect of either a time used or recoverable data and that relevant persons have complied with the plan completely and correctly. Also, the report of

such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for