wishes to receive an evidence of the approval shall submit the requisition through the system provided on the website of the SEC Office. Clause 9 This Notification shall come into force as from 1 July 2014
approval shall submit the requisition through the system provided on the website of the SEC Office. Clause 9 This Notification shall come into force as from 1 July 2014. Notified this 3rd day of June 2014
the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
การเตือนภัยล่วงหน้าเกี่ยวกับการดำรงฐานะทางการเงินของบริษัท (early warning system) เพื่อให้บริษัทมีเวลาที่เพียงพอในการเตรียมการหรือดำเนินการใดๆ ในการ จัดสรรเงินทุน หรือแก้ไขปัญหาการดำรงฐานะทางการเงินที่
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including
registration under Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business