13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have been stipulated such requirement but it is
Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation
; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the regulatory authority for information
transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives