policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned

companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

cover at least the following matters: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver

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

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This

of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

. The Client’s derivatives contract with such position will be marked to market by its derivative agent at least at the end of business day to reflect a daily gain or loss from the Client’s position