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
, derivatives broker shall provide service only for institutional investor, and in such cases provisions of Clause 16 and Clause 17 shall not be applicable to the aforesaid service. In providing service as
(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in