substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
) a finance company; (c) a securities company; (d) a securities depository center ; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who