Clause 4 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed
statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk
that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk disclosure statement for futures
using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover the extreme but possible events of market volatility; (2) a quarterly
, by at least conducting the following tests: (1) a daily stress test using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover
Bangkok, 17 March 2017 ? The SEC has launched the Corporate Governance Code 2017 (CG Code) as a guideline for boards of directors of listed companies in performing their duties and leadership role to
of the law involve revision of provisions related to training wherein banks are required to have officers who are responsible for overseeing the preparation of transaction reports, Know Your Customer
material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial