Supervisory Board or the SEC Office, including the operational guidance specified by the intermediary to comply with such rules. (2) consent of the service provider for the SEC Office to inspect the operation
into force from 16 November 2018. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 25/2556 Re: Outsourcing Operational
risks arising from derivatives, the SEC shall https://publish.sec.or.th/nrs/2243pe.doc Translation : Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
letter of consent. However, the company failed to fully make the required payment accordingly. The SEC has therefore submitted a request to the public prosecutor to file a petition with the Civil Court