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
complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
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
, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect
every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving
, risks and conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an