management and securities business financing. Additionally, to promote fair competition or level playing field among business operators in the capital market, derivatives intermediaries would also be allowed
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in business relationships with a securities company
, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
procurement or determination of substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of
revenue generation through new shopping malls, enhancement of existing malls, as well as efficient cost management. CPN currently manages 32 shopping malls with the net leasable area (NLA) of approximately