shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this
The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with
): _______________________________________________________________________ Economy(-ies) in which the delegated and sub-delegated entity(-ies) are registered and being regulated (if any): _______________________________________________________________________ Part H
personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
: (1) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2
) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2) of
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such