electronic procedures. “securities company reporting system” means the electronic data interchange provided by the Office for filing reports of securities company to the Office. “Office” means the Office of
provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would
company report transmission system” means electronic data transmission system determined by the Office for use of the securities company in submitting the report of the securities company to the Office
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
and corporate governance system in the preceding year 6.3.1 Describe, at least once a year, the information on material changes and developments related to the review on the policy, guidelines and