Establish Branch Offices (No. 2) 07/12/2010 01/01/2011 3. Notification of Capital Market Supervisory Board TorThor 8/2551 Rules, Conditions, and Procedures for Applying for Permission and Granting of
1212 The details of the particulars under Clause 11 shall comply with the following rules: (1) an offer for sale of securitized bonds in any case shall be according to the Forms specified in Division 1
efficient risk management under the supervision of the Risk Oversight Committee, Market Risk Management Sub-committee and Enterprise Risk Management Division, to maintain risks within prudent limits. 2.3
assessing possible impacts, placing 5 importance on efficient risk management under the supervision of the Enterprise Risk Management Division, Market Risk Management Sub-committee and Risk Management
juristic entity, the shareholding of Directors and Executives in the work division involved in the offer for sale of structured notes of such juristic entity shall also be considered. 4 Part 1 General
, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
Management Sub-committee and Enterprise Risk Management Division, to maintain risks within prudent limits. 2.3 Liquidity Risk Management Overall liquidity in the Thai banking system in this quarter eased from