Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
intermediary should separate development and production environments and allow to access by only authorized personnel for each environment. Such separation may be in the form of using different computers or
evaluation should be made to project the future capacity requirements based on current use of resources for ensuring the required system performance; 4. The intermediary should separate development and
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and