securities company for the purpose of complying with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to trading of units of foreign
securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational
sufficient resources to support the implementation of the policy. Clause 5. A securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business
ซ่ึงท ารายการซ้ือขายหน่วยลงทุนทีจ่ดทะเบียนในตลาดหลกัทรัพย์ผ่านสมาชิก ของตลาดหลกัทรัพย์ปฏิบัติตามประกาศ conduct ของการเป้นนายหน้า และค้าหลกัทรัพย์ทีม่ิใช่ตราสารหนี้ หรือหน่วยลงทุน ข้อมูลทัว่ไป ช่ือผูต้อบ
appropriateness of the scenario, parameter and assumption used in the stress test on a quarterly basis or upon significant change to the market condition and conduct a full validation of such model at least once a
derivatives. Clause 3 Any director of a derivatives exchange and a derivatives clearing house shall not have a record of tarnished characteristics or any conduct indicating a lack of responsibilities or
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the economy of its principal place of