Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
consistent and suitable for the risks and complexity of each type of capital market product by taking into consideration the best interest of clients. In addition, such communication and provision of services
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.