, the SEC Office shall have the authority to prescribed and notify any detailed criteria on the matters prescribed in this Notifications for the purpose of clarity in practice and for inspection by the
, the SEC Office shall have the authority to prescribed and notify any detailed criteria on the matters prescribed in this Notifications for the purpose of clarity in practice and for inspection by the
sufficient clarity to enable the identification and assessment of risks relating to objectives. Questions Yes No 6.1 The company is able to comply with the generally accepted accounting principles which is
supervised by the SFC). The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: mrfhongkong@sec.or.th Page 11
Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely
. Clarity The definition, perimeter and underlying methodologies for all the selected KPIs are defined and disclosed in the Framework and in internal documentation. For KPI 1 and 2, the Issuer’s methodology
identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and
to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any securities company violates or fails to comply with
subject as prescribe in this Notification in order to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any
___________________ Clause 14. For clarity and to ensure that the SEC Office’s discretion has been reviewed as appropriate, the SEC Office shall prohibit any person from performing duties, or suspend or revoke the