matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more
work experience and [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office, as specified in the tables of
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
, [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of
Other Acts of Listed Companies Concerning the Connected Transactions, B.E. 2546 (2003) (including the amendments thereof) (the “Notifications on Connected Transactions”). The approval from the
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
into force from 1 September 2009. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. TorThor. 10/2551 Re: Rules, Conditions and