: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver the underlying goods of
providing service, internal control system and risk management system for the securities borrowing and lending business, which exhibits that the business operator is ready and capable to comply with the rules
exhibits that the business operator is ready and capable to comply with the rules applicable to the undertakings falling outside the previous restriction. Clause 11. This Notification shall come into force
lending business, which exhibits that the business operator is ready and capable to comply with the rules applicable to the undertakings falling outside the previous restriction. Clause 11. This
together with personal that are capable and highly skilled. There are risks, from relocating to new location, of both management, construction, requesting license that cost and time consume. Moreover, there
rating, and is capable of operating the work impartially and fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
15 The Thai government agencies that offer bonds or corporate bonds shall have the following qualifications: (1) being capable of lawfully offering the bonds or corporate bonds in accordance with the