under the principles similar to the rules on risk management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004; and (6) Clause 3(1) of the Notification of the Securities and Exchange Commission No. KorKhor. 42
. 20/2547 Rules for Derivatives Fund Management 16/04/2004 01/05/2004 2. Notification of the Office of the Securities and Exchange Commission 12/2549 31/03/2006 01/05/2006 3. Report/Form
notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission
Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market
Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services 06/02/2008 01/03/2008 4. Notification of the Office of the
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 (Notification No. SorThor/Nor/Yor/Khor. 3/2550