. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
หน่วยลงทุนและการจัดการกองทุน (Fund Service Platform) สำนักงานขอนำส่งภาพถ่ายประกาศจำนวน 2 ฉบับ เพื่อกำหนดหลักเกณฑ์ การให้ความเห็นชอบผู้ให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและ การ
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains
Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office