securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to auditors and additional requirements as specified in the notification

, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii

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

concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units

: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact