be submitted to the Office. Preparation of the balance sheet and the profit and loss account for the first six months of the financial year in accordance with the first paragraph and the publication in
operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any arrangement to ensure that the relevant service provider is able to
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
) Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 9/2549 Re. Report Preparation and Submission of Licensed Derivatives Brokers dated 31 March 2006; (8) Notification of the Office
preparation and submission of daily status report in text file via OFAR Version 1.7 Intermediaries Supervision Policy Department Telephone: 0-2263-6257 Facsimile: 0-2263-6487
Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall be specifying the