Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
: Audit committee has the same roles and responsibilities as other directors, which are to establish policy or approve the vision, strategy, objective, business plan, and budget of the company, review
or part- time auditors and individuals in the service delivery center) If yes, please describe. 2 How does the firm determine staffing requirements and minimum qualifications for each position? (full
establish Criteria that will identify and certify assets and use of proceeds that: • Promote GHG mitigation through reduced emissions or increased sequestration; • Promote adaptation to climate change and
that there are differing mandates, contexts, strategies and aims together with considerations of jurisdiction, regulation and best practice that will determine the approach that can be taken by a
returns are fitted using GJR-t-GARCH models and then analysed using time-varying conditional copulas to ascertain if tail dependence exists. The study tests a number of well-known copulas, i.e., Gaussian
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
, so as to efficiently accommodate the undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/15