companies may participate in the test, mutually observe or let the main service providers notify the BCP test to companies. Division 9 Examples of emergency incidents which may cause major operational

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

). Cash flows statement The items in the cash flow statement of the company shall be use the prescribed definition, as follow: Cash flow from operating activities means money arising from the main

Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a