Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited company or public limited company to undertake securities finance business shall file an
to undertake securities finance business shall be specified in this Ministerial Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited
to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable derivatives clearing houses to practice in a consistent manner; (2) set out detailed
other companies and business partners to establish and implement anti-fraud and corruption measures. Principle 5.3 The board should ensure that management allocates and manages resources efficiently and
Conduct containing the following measures: 1. QUALITY AND INTEGRITY OF THE CREDIT RATING PROCESS A. Quality of the Credit Rating Process 1.1 A CRA should establish, maintain, document, and enforce a credit
/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as
Capital Market Supervisory Board No. TorThor. 7/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
securities company will continue or be restored in a timely manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is