copy of the contract relating to the aforesaid liabilities or obligations to the SEC Office along with report form for the first time that such particulars are calculated in a report of net liquid
exemption by the Office. The provision under the first paragraph shall not apply to the executive of the securities company licensed to undertake securities business in the category of mutual fund management
Executives of Securities Companies (No. 2) dated 2 May 2006 The provision under the first paragraph shall not apply to the executive of the securities company licensed to undertake securities business in the
concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by the board of directors or a working committee appointed by the
the method and channel of communications and information concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by
เฉพาะธุรกรรมที่เป็นที่นิยมอย่างแพร่หลาย ดังต่อไปนี้ 2.1 single-name credit default swap (CDS) 2.2 first-to-default swap (FTDS) 2.3 proportionate credit default swap (Proportionate CDS) และ 2.4 total rate
its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities