business continuity plan # $%& ' &( )*+*, · the stock exchange of thailand (set)...

16
Business Continuity Plan 2553 2545 Business Continuity Plan (BCP) 4 BCP 17 .. 53 BCP (Alternate Site) 1 17-19 .. 53 20-21 .. 53 BCP Cold Site Co-Location Mobile Site

Upload: vothuy

Post on 23-Apr-2018

219 views

Category:

Documents


1 download

TRANSCRIPT

������������� ��������� Business Continuity Plan "�#��$%�&�'���&(���)��*�+*,

���������� � ���� ������������� 2553 � !���"#��$��������%���&' �� ()���������&�*#$���#���� �#���#+���+�,- *#$��&�+�� �.&������,/)!������� !�0������1�+���� �� ,��,*#$��� � �2#���+,�������&����3���'1���1�� !�0���1� ��� ��(�31��0������1 �����1��&�"#��$��������24&�+�&����� 2��&

�,������5�� �#���#+���+�,- ,+����� ��(�26�/�7�3�,�#+���+�,��1�,���������!�� �+��28����&�9'���� ��1� *#$:+�,���3���#���#+���+�,��, � ! ���'+�����1����� �� !,�� !�+��� , �+� ���;�����# ')���1����� �.�!� +!���;��$�(��+��1���:��;�&'� ! ��( ,����*����,���+�#�����+7���*#$����2�$��:

�1�,�&�+,�+:�3���$��� ����#���#+���+�,- �+7�*��2< 2545 � !��$��+�()���� �0��+>3������+?��*"��0���&�%���&'������!�� Business Continuity Plan (BCP) ��1� �1�,:9�,�0����� !�� ��(�0���&����������!���+�� � �!�:9�,�#+���&�2O>�� P�, ����0������� �+�� � !2�)���"91�. !,�.�>'���+7���*#$����2�$��: ���!��+?������� �� ()����/1� 24&�+�&����� *"��,���'�&�'+��28�2�$'0����2<��� �+���&�+���*�����#����� ���!���� , ��1� �+� ���+����$�&������� Q *#$�� ��(�0���1�0���&�%���&'�� 2��&��1��5�� !��� ��1�0���&����������!���28�2<� ! 4 *#1�

�#�������,2�$��"#�0���5' '������0�*"� BCP ��.1'�&���+7�*�����+�� ! 17 �.�. 53 P�,"91��&���*#$��+������� BCP ��1,1�,� !�0�����2:9�,�0���� (Alternate Site) � ! ��� 2#���+,*#$,+���1'+����:9�,�0�������!�����+���&�+�� �.&� *#$����,����0��+�� !��1�+�"#��$���0���1�� ��(��&���/�7�3�,�#+���+�,*��"91#������1�#��.����&���&������ � ����P�, �#���#+���+�,- 2�+�#���#�/�7�3�,#� 1 .+!�P ���������,�+�� ! 17-19 �.�. 53 ���!���� 2#���+,�������&����3����+���� ��� ����+�� ! 20-21 �.�. 53 �#���#+���+�,- 26����/�7�3�,�#+���+�,���!��'���28��+��,���0����3��%�������&.,

�+?������0��+>3��*"� BCP 3���#����1���,�+�'��� 7 '$ �����1������� , ���'+��+7�:9�,�0����*���� !�� P�,��� ���+��#���#+���+�,����2�$��:��#+��$ Cold Site Co-Location ���� �����$'�,��� �� !,�P�,*,�:9�,�0�����+7����#���#�,�0��# �� ()��+?�� Mobile Site ��1��+������ ��(24&�+�&���� !�1����1�,���2#���+, ���!� �����&! 2�$�&�%&���*#$2�$�&�%&"#�1�����#���� �� !,�'��"#��$��3���&������ � !��'���"#��$�������� �.�!� +!������/�7�3�,�#+���+�,

The Stock Exchange of Thailand successfully implemented Business Continuity Plan during May unrest

The Stock Exchange of Thailand (SET) successfully activated its Business Continuity Plan

(BCP) during the political turmoil this past May. The SET and its staff demonstrated remarkable

resilience by continuing uninterrupted business operations during the turbulent times, especially as

staff of SET and some other market participants were unable to freely access their offices and

some buildings were damaged.

The SET’s BCP story starts back in the year 2002 when its Board of Governors and senior

management realized the BCP’s importance and decided to have such a plan ready for any

eventuality. This plan included having a backup site ready 24/7 to continue uninterrupted

operations even if the main site had been disabled. The SET developed the BCP with the aid of

both local and international external consultants to identify the resources needed to support

business continuity, and laid plans to ensure the continuous operation of our exchange. We have

created staff awareness and organized training to cultivate SET’s culture so that our staff will be

comfortable with and know how to use the BCP, including conducting exercises annually with

various scenarios; 2009 was the fourth consecutive year of such tests. BCP testing has involved all

related participants in the Thai capital market, including member companies, commercial banks,

other listed companies, and regulators to ensure that all critical functions would continue without

interruption during and after traumatic events.

The SET successfully activated its BCP on May 17, at its alternate site. The securities trading

system operated as usual. All brokerages still connected normally to the SET’s trading systems

and investors’ trading orders were executed properly. Due to the wide-spread unrest and

suspended operations of some mass transit systems, which affected staff to access our office, the

afternoon trading sessions were shortened slightly on May 17-19. On May 20-21, the SET did not

conduct trading as the Bank of Thailand declared these two days to be special holidays for

financial institutions.

Further step for BCP development is to have functions distributed among several alternative

sites. This is to manage geographical risk, including enhancing the capability of staff to work

various sites without being restricted by the need for physical access to main site.

The SET will continue to embed the BCP in SET’s culture and encourage market participants

to maintain and develop plan even further, ensuring that all essential operations in the Thai capital market operate smoothly and effectively in the event of disaster.

Overview of SET’s Business Continuity Plan

2July 2010

BCP Steering CommitteeChairman: CEO

BCP Steering CommitteeChairman: CEO

Board of GovernorsBoard of Governors

BCP Working TeamChairman: COO

BCP Working TeamChairman: COO BCP Coordinator:

Enterprise Risk Management Unit

BCP Coordinator:Enterprise Risk Management Unit

BCP Management Organization

Business UnitsBusiness Units IT UnitsIT Units Support UnitsSupport Units

3July 2010

BCP Process

1. Project Planning1. Project Planning

2. Risk Assessment and Business Impact Analysis2. Risk Assessment and Business Impact Analysis

3. Recovery Strategy Implementation3. Recovery Strategy Implementation

4. Plan Development4. Plan Development

5. Plan Testing5. Plan Testing

6. Training and Awareness6. Training and Awareness

7. Plan Maintenance7. Plan Maintenance

4July 2010

Critical Business Processes

Trading

System

Market

Surveillance

Information

Dissemination

Securities

Clearing and

Settlement

Communication

Management

5July 2010

BCP Activation and Recovery Flow

Decision

Disaster

Alternate Site

Command Center

Call Tree Meeting Place

DRP/BCP Coordinator

Systems Recovery

Data Recovery

BusinessesRecovery

Return to Normal

6July 2010

BCP Awareness & Training

• E-newsletter with BCP knowledge, BCP issues and case studies

• Internal corporate communication channel

• Intranet Web Sites

7July 2010

- SET Group

- Brokerage Firms

- Clearing Members

- Depository Members

- Listed Companies

- BOT

- SET Group

- Brokerage Firms

- Clearing Members

- Depository Members

- Listed Companies

- BOT

- SET Group

- Brokerage Firms

- SET Group

Participant

FloodTerroristPandemic InfluenzaBombScenario Test

Year 4

(2009)

Year 3

(2008)

Year 2

(2007)

Year 1

(2006)

BCP Activity Testing

8July 2010

End of document

Opportunity Day Quarter 2/20109 August – 7 September 2010

1101 Room (11st floor) at The Stock Exchange of Thailand Building

Slot 1 Slot 2 Slot 3 Slot 4 Slot 59.00-10.30 10.45-12.15 13.15-14.30 14.45-16.00 16.15-17.30Date

LIVEOpportunity

Day Webcast 1 hour 30 mins 1 hour 30 mins 1 hour 15mins 1 hour 15mins 1 hour 15mins

MON 9-Aug-10 LIVE PSL SNC

TUE 10-Aug-10 LIVE ADVANC DELTA

WED 11-Aug-10 LIVE SPALI

MON 16-Aug-10 LIVE TISCO MODERN TRT* IVL HMPRO

TUE 17-Aug-10 LIVE HTECH* THCOM CSL SHIN AMATA

WED 18-Aug-10 LIVE JUTHA GC TK HEMRAJ AS

THU 19-Aug-10 LIVE MINT GLOW SMT TKS AI

FRI 20-Aug-10 LIVE TMI* SGP EASTW PRIN AGE*

MON 23-Aug-10 LIVE TICON/TFUND/TLOGIS SINGER TRU AH KYE

TUE 24-Aug-10 LIVE CPN/CPNRF PRANDA DRT

WED 25-Aug-10 LIVE OFM* TKT ASP KEST Q-CON

THU 26-Aug-10 LIVE JUBILE* ROBINS BOL* TMT

FRI 27-Aug-10 LIVE BJC SENA SAT PS

MON 30-Aug-10 LIVE NMG NBC* MFEC THANA*

TUE 31-Aug-10 LIVE CYBER* BECL BAFS IFS

WED 1-Sept-10 LIVE BCP TPOLY* HANA CENTEL LHK

THU 2-Sept-10 LIVE ILINK* ETG* SAMART SIM/SAMTEL MOONG*

FRI 3-Sept-10 LIVE TNDT* SIMAT* DSGT DTAC(non-live)

MON 6-Sept-10 PHATRA MBK

TUE 7-Sept-10 LVT* KKC DEMCO* NWR BECUpdated 6 Aug 2010 * = mai

Special Archive Webcast from “CPALL” can be viewed from 19 August and from “THAI” can be viewed from 21 August onwards.

13.00 – 13.30 hrs. Registration & Refreshment

13.30 – 13.45 hrs. Welcome Address by Khun Charamporn Jotikasthira President, The Stock Exchange of Thailand

Khun Thanwa Laohasiriwong Country General Manager, IBM Thailand Company Limited

13.45 – 14.30 hrs. Capitalizing on Complexity: Insights from the IBM Global CEO Study 2010

by Ms. Grace Chopard Vice President & Partner, Strategic Transformation Leader, IBM Global Business Services, Growth Markets

14.30 – 15.30 hrs. Panel Discussion: How to Capitalize on Complexity: A Thailand’s Perspective

by Khun Anon Sirisaengtaksin

Chief Executive Officer, PTTEP Public Company Limited

Dr. Chatree Duangnet

Chief Executive Officer, Bangkok Dusit Medical Services Public Company Limited

Khun Charamporn Jotikasthira

President, The Stock Exchange of Thailand

Ms. Grace Chopard Vice President & Partner, Strategic Transformation Leader, IBM Global Business Services, Growth Markets

15.30 – 15.45 hrs. Closing Remark