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
securities company will continue or be restored in a timely manner in the event of disruption UNOFFICIAL TRANSLATION of its normal operations, the securities company shall establish a policy on business