of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after trading of securities or derivatives; (9) back office
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
information security; (3) define the recovery time objective (RTO) for information system and its priority to be recovered based on its criticality and potential impact; (4) consider redundant information
ความเสี่ยงนั้น ๆ) ต้องได้รับอนุมัติโดยคณะกรรมการบริษัท ( 6.2.5 การกำหนดสิทธิ (user access matrix) ของทุกระบบงานสำคัญ ซึ่งรวมถึงระบบ back-office (เช่น wallet ระบบบัญชี เป็นต้น) ระบบเครือข่าย และระบบ