collateral for the clearing and settlement of securities, the securities clearing house shall provide the system and regulations for placement or requirement of margin from the members, including the methods

the liquidity risk. Clause 9 For the purpose of collateral for the performance of derivatives and the protection of the clearing system, the derivatives clearing house shall provide the system and

held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking

would be unable to provide liquidity assistance to financial institutions in forms other than Thai baht.The above perspectives are consistent with that of regulators in many countries such as the

the information memorandum to shareholders. However, taking into consideration the good corporate governance and in order to provide shareholders with complete information, the Board of Directors

, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients unfairly. 3 Amended by

for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning

management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning for supporting business continuity To operate a critical business function continually

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody

Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s