plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
derivatives broker; (2) “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “initial margin” means the minimum amount of asset to be deposited by a
for the quantity in excess of the minimum purchase requirement, as specified in the agreement, with retroactive effect from 1 April 2017. 4. Total value and the criteria for determining the
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
manager and at a minimum there shall be a responsible person in the function relating to the management of the properties of the trust and there shall be at least two persons who are qualified as follows