implement or further enhance throughout the year, namely: (1) to increase the capital market?s role in developing the economy and strengthening Thailand?s leadership in the region; (2) to encourage growth
Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to changing customer behavior, regulatory changes and life platform-driven competition. Given the
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and