provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS
appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as
Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company
Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary ______________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act
act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity through bid and offer rates, disclose the name and address of the entity and the main
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business