shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11

that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the

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

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

not meet the conditions set forth in Clause 6, the Office shall notify the rejection and return such statement of claim to the claimant within fifteen days from the date on which the Office receives

markets shall meet the following rules: (1) comply with rules set forth in Clause 7(1), or (2) if not passing the examination on course specified in Clause 7(1), having attended a full course relating to

, duties and responsibility of executives and units. Clause 4/1. A securities company shall have independent director of at least one-forth of its board of directors. In case the independent director

level agreement, recovery time objectives (RTO) and recovery point objectives (RPO); (6) set forth the liability if the cloud provider is unable to provide services in accordance with the service

establishment has features or form that are in accordance with the rules or conditions set forth in this Notification, but the circumstances led to believe that the intentions for or the substances of such