supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
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
parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g
able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
SEC Office. “ risk haircuts mean the risk haircuts arising from the engagement in the derivatives business or any other operations of the derivatives broker . “ collateral ” means the total sum of the
; (4) other liabilities as stipulated by the Notification of the SEC Office. “ risk haircut ” means a risk haircut arising from the engagement in the securities business or any other operations of the
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
prioritizing IT projects, for example, suitability with the corporate strategic plan, impact on business operations, or urgency for use; (2) preparation and approval of the budget for IT projects, which are in
first paragraph may affect the business operations or interest of members, investors or stakeholders of the derivatives exchange, the derivatives exchange shall arrange a hearing from such persons and