Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
Microsoft Word - OrKhorNor5-2549F.doc (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating...
the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
Division shall not apply to the derivatives exchange under the second paragraph of Section 54. SECTION 57. A derivatives exchange shall have: 18 (1) sufficient financial resources for the proper performance
sufficient for the Selection Committee to consider nomination of such experts. The rules under the first paragraph shall be approved by the Minister and shall continue to be in effect even though the Selection
proposed position and shall be sufficient for the Selection Committee to consider nomination of such experts. The rules under the first paragraph shall be approved by the Minister and shall continue to be in
concerning knowledge and experience of the experts to be nominated which are beneficial to the proposed position and shall be sufficient for the Selection Committee to consider nomination of such experts. The