the business?s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014. The consultation paper is available on
of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; UNOFFICIAL TRANSLATION
as follows: (1) Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
0.96 million baht or 2.56% due to increasing in operational efficiency and cost control. • The Company has no financial expenses due to having no any loans from financial institutions. Profit (Loss
for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is approved by the SEC
experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “approved person” means a person who is approved by the SEC Office to participate