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
the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and
, although both clients [or both groups of clients ] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which
. 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
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
classifying information according to organization’s classification scheme and establish the operating procedures for each level of classified information; (9) define information security requirements
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not