business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2257-4600 Fax.0-2253-0532 9 DAOL SECURITIES (THAILAND) PUBLIC CO.,LTD. 9, 18, 39 AND 52 TH FLOOR, CRC TOWER, ALL SEASONS PLACE, 87/2
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
Public Company Limited 44 North Sathorn Road Silom Bangrak Bangkok 10500 Thailand 29 March 2005 29 March 2005 11 Deutsche Bank Athenee Tower Levels 27-29 63 Wireless Road Lumpini, Pathumwan Bangkok 10330
) LTD. - KHLONG TOEI NUEA, WATTHANA, Bangkok 10110 Tel.0-2079-2200 Fax.0-2079-4347 , 0-2079-4380 9 CLSA SECURITIES (THAILAND) LTD. 16/F, M.THAI TOWER, ALL SEASONS PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM
SECURITIES (THAILAND) LTD. 16/F, M.THAI TOWER, ALL SEASONS PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2257-4600 Fax.0-2253-0532 9 DAOL SECURITIES (THAILAND) PUBLIC CO.,LTD. 9, 18, 39 AND
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and