business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these

: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact

opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are

long term, such as damage on building or place of business or branches, a failure of information technology system, inaccessibility or unusability of building or personnel unable to come for work in both

technology” as “an effect causing the securities company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm

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Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed.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

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of