disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
shall prevent loss, damage, theft or compromising of equipment assets, and interruption to the organization’s operation. Clause 20 An intermediary shall implement access control of information and
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
เสี่ยงเกี่ยวกับความปลอดภัยทรัพย์สิน (damage of physical assets) 6. ความเสี่ยงจากความขัดข้อง หยุดชะงักธุรกิจ และระบบคอมพิวเตอร์ (business disruption and system failure) 7. ความเสี่ยงจากการปฏิบัติงานและ การ
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or