institution, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one
/Documents/Auditor/leadership.doc The Derivatives Act The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
liquid capital rule applicable to securities company for the purpose of ensuring confidence in trading system. The rationale for the new requirement is that obligation to make delivery of or payment
Work System Related to Business Undertaking of Mutual Fund Management
Rules in Detail on Establishment of Information Technology System
establish clearer standards and guidelines for business operators. The IT system must maintain security, integrity and availability of work systems and data in regard to IT risks and cyber risks. This took
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of the Notification of the Securities and Exchange
of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of the