Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch office to full-service branch office provided that on the date the derivatives broker upgrades its branch, it meets the
responsibility must be lived up with to boost confidence and upgrade standards in corporate governance for companies listed in Thailand.Mr. Rapee Sucharitakul, Secretary-General of the Securities and Exchange
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
advantage of additional market opportunities which arose due to operational issues at some of our competitors. This was in addition to the “fix the basics” technical upgrade program which resulted in full
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
Training Course, Class 19, on the occasion of their study tour regarding organizational management with governance and organizational innovation to develop knowledge and new frameworks for operational
meeting aimed to communicate the expectations, revised regulatory framework, and the operational guidelines for the compliance unit of ICO portals. Approximately 30 participants attended, including senior
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of