and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk

names of foreign personnel of foreign business operators, allowing a more flexible timeframe from one business day in advance to within seven business days from the day investment information or advice

organization to a business unit. The digital transformed will also be achieved to improve the operational process to be flexible and increase the efficiency of expense management and operational costs. The 4

in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and

investors, as well as to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects such as the

investors in minds, as well as for them to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects

?Bangkok, December 18, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing arbitration procedures in order to bring about flexible, complete and appropriate practices

asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a