, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018; “intermediary” means a securities company or derivatives intermediary, excluding venture
according to the definition by the National Institute of Standards and Technology (NIST); “outsourcee” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
concerning Guidelines for Application for Obtaining an Approval and Granting to Appoint a Personnel to be a Director or an Executive of the Derivatives Intermediary B.E. 2553 dated 1 February B.E. 2553. Clause
investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the
Republic of China and Thailand (HK-TH MRF) This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after
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the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such