circumstances which may significantly affect the management company or may cause damages to customers or investors. Such plan shall be stress-tested, reviewed and improved to be up-to-date and to be suitable for
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
.: _________________________ (please use an enclosure if there is more than one participating dealer) Part E: Representative of the CIS Operator 19) Name of proposed representative in Thailand
มีการนำข้อมูลที่ได้จากการพิจารณาผลกระทบไปดำเนินการต่ออย่างไร เช่น มีการทำ stress test/ scenario analysis เพื่อพิจารณาถึงเหตุการณ์ที่มีผลลบต่อสถานะตามสัญญาซื้อขายล่วงหน้าที่อาจเป็นไปได้ และการประเมิน
or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
.: _________________________ Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19) Is such representative regulated by or acceptable to the
support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the
proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4) rights, duties, liabilities and conditions in part of the client , or an obligation binding the
and participating dealer of ETF in the fields provided above. Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19