Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
. Clause 17 Information shall be classified in terms of sensitivity and other IT assets (i.e., systems asset and equipment asset) shall be classified in terms of criticality in order that such IT assets are
เอกสารรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขประกาศเพื่อให้บริษัทหลักทรัพย์ต้องทำ suitability test สำหรับการจัดจำหน่ายหลักทรัพย์ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546
classifying information according to organization’s classification scheme and establish the operating procedures for each level of classified information; (9) define information security requirements
. KorThor 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor. By virtue of section 3 and section 9 under the Derivatives Act, B.E. 2546 (2003), the SEC hereby
and 2 attached herewith. The OFAR system will be available for a test run during 1-30 December 2016. Thereafter, intermediaries will be required to submit their daily status report via OFAR, starting
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the