could be permitted. In this regard, SEC will arrange a meeting among Thai asset management companies, SFC, the Financial Services & the Treasury Bureau, the Hong Kong Monetary Authority and Hong Kong
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit; (2) A securities operation unit, the securities company may arrange
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
manager and the following work units: (1) A derivatives services unit; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives