a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries
/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as
Capital Market Supervisory Board No. TorThor. 7/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
securities company will continue or be restored in a timely manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is
securities company will continue or be restored in a timely manner in the event of disruption UNOFFICIAL TRANSLATION of its normal operations, the securities company shall establish a policy on business
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance