. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
ผู้ช่วยเลขาธิการ (คุณรพีฯ) PAGE 2 แนวทางการกำกับดูแลการทำธุรกรรมด้านหลักทรัพย์ผ่านสื่อ on-line (ฉบับที่ 2) ด้วยปัจจุบันผู้ให้บริการด้านระบบคอมพิวเตอร์ (service providers)ได้เข้ามามีบทบาทสำคัญ ในการ
relevant parties and personnel responsible for the communications under Clause 6(3). Clause 8. If critical functions are outsourced to service providers, the securities company shall ensure that the business
persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
persons or natural persons approved by the Office and acting under responsibility of derivatives advisory service providers, to give such advice. Clause 3. This Notification shall come into force as from
deemed to have the permission to use back office service from the Office, if the service providers are as follows; (1) The Stock Exchange of Thailand; (2) Limited company or Limited public company
which covers the methods for selection and evaluation of cloud providers, review of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence; (2) policy on
intermediary shall be conformed to Chapter 1; (2) the outsourcing of operational function to service providers shall be conformed to Chapter 2; (3) the outsourcing of operational function other than sub clause