., computers, equipment, data recorders, and other equipment; (3) information assets, i.e., information, electronic data, and computer data; “ critical IT assets ” means the IT assets that are related to or
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business