Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
event of major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
Licensed Businesses, dated 30 December 2003, was published in the Government Gazette on 31 December 2003, Volume 120, Special Section 152Ngor. The Notification of the Securities and Exchange Commission No
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
and control the volume of such transactions made by derivatives broker.
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance