overall risk management of the Financial Conglomerate to ensure its effectiveness Ensure effectiveness of overall risk management of the Financial Conglomerate Establish risk management policies and
overall risk management of the Financial Conglomerate Establish risk management policies and risk appetites. Set risk limits for the significant aspects of the various risks. Formulate strategy on the
shaping of market development. The law on futures markets was enacted in 2004. Preparation is now well under way to establish the market within 2005. A clear and concise plan was set to eradicate remaining
intelligence (AI) to establish marketing strategies suited to the behavior of each customer group, as well as developing products and end- to-end solutions. The advent of FinTech has changed the competitive
years. These trends are the driving factors behind the need for the public and private sectors to establish a framework and measures to cope with changes in the economic and financial sectors. 1
. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered
obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exc...
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of