Business Continuity Plan on

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Business Continuity Plan on Recent Experience
By Thailand Securities Depository
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Thailand Securities Depository (TSD)

• Subsidiary of The Stock Exchange of Thailand
  (SET)
• Established on November 16, 1994
• The main objective is to develop and promote
  back-office system.

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TSD Services

• TSD services can be provided into 5 main areas
• Securities Depository
• Clearing and Settlement
• Cash Market (Stocks and Bonds)
• Derivatives Market (Performed by Thailand
  Clearing House (TCH), subsidiary of TSD)
• Registration, and
• Broker Operation Services

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Incidents to apply BCP

• Political reasons
• - Riots
• - Coup detat
• Natural Disasters
• - Earthquake
• - Flooding
• Unable to access to the work place (main site)

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Problem Areas BCP actions
BCP Possible Problem Area

• Communication between TSD and Bank of Thailand or
  Settlement Banks

• Declare emergency and announce BCP
• In case TSD system failure
• - Inspected by IT
• - Switch link to back up site
• In case Bank of Thailand or Settlement Banks
  system failure
• - Communicate to settlement banks
• - Send instructions to banks by e-mail or fax

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Problem Areas BCP actions
BCP Possible Problem Area

• Switch link to back up site
• In case members system operates
• - Send information to members by e-mail or fax
• In case members system failure
• - Get information from members, TSD operates
  back office operation on behalf of members
• - Members use TSD operation site to perform back
  office operation.

• Communication between TSD and Members

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Problem Areas BCP actions
BCP Possible Problem Area

• Declare emergency and announce BCP
• Switch link to backup site
• Connect to back up server and re-check
  transaction

1. Main Site or system Failure

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Problem Areas BCP actions
BCP Possible Problem Area

• Declare emergency and announce BCP
• Suspend all settlements
• Inform all markets for halting all trading

1. Main Site and Back Up Site Failure

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Crisis Flow And communication
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(No Transcript)
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BCP on COUP DETAT (Sep 19, 2006)

• Impacts to Financial Institutions on September 20
• Bank of Thailand (BOT) closed
• All settlement banks closed
• Stock Market (SET), Bond Market (BEX) and
  Derivatives Market (TFEX) Closed
• All financial institutions closed

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TSD Actions on September 20

• Call meeting for the incident according to state
  BCP
• Co-ordinate with SEC, BOT and members to announce
  a special non-business day on September 20
• All settlements on September 20 were rolled over
  to September 21.
• Pending Settlement Value
• - Stock Market Mil? 2,697 (Mil 77)
• - Bond Market Mil? 60,309 (Mil 1,723)
• - Derivatives Market Mil? 22.08 (Mil 0.63)
• (Remark 1 ?35)

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What happened to the next market operation day
(September 21) ?

• Situation was normal.
• Market opened and closed on schedule.
• All systems worked well and smoothly.
• All settlements on September 21 and so on were
  rolled over to the next business day.

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What is your best practice, if this kind of
incident happens in your market ?

• Will you roll over all settlements to the
  following day on and on?
• Will you settle the extra round for the special
  non-business day settlement on the following day?

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Questions and Answers
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More Information

• http//www.tsd.co.th

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Thank you