Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the
. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the Securities and Exchange Act B.E. 2535
Securities and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
company, it is deemed necessary to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
and control the volume of such transactions made by derivatives broker.
control the volume of such transactions made by derivatives broker. Notification of the Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and