Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
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
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph