translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
debt instruments or investment unit, or securities financing business under the Securities and Exchange Act ; (3) a juristic person established under foreign law, which is a derivatives business operator
instruments or investment unit, or securities financing business under the Securities and Exchange Act; (3) a juristic person established under foreign law, which is a derivatives business operator in the
Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and https://publish.sec.or.th/nrs/4197pe.doc ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ
conducts, the SEC requires that intermediaries have operational procedure to ensure that investors are qualified as accredited investors as specified in the regulations. AI must have good understanding about
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission