the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
guideline for consideration of any problematic issues which many arise from the enforcement of this Act.
material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under the first paragraph, an intermediary
ลูกค้าและการมอบหมายงานด้านการจัดการลงทุนให้บุคคลอื่นของ บลจ. จะไม่กำหนดไว้ในประกาศ COI แต่จะมีการกำหนดไว้ในประกาศเกี่ยวกับระบบงานและประกาศเกี่ยวกับการมอบหมายงานแทน 2.2 guideline COI 2.2.1 กำหนดเพิ่มเติม
material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent