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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.
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
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