” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
methods and channels for communication, a list of relevant persons either inside or outside companies, responsible persons and communication, including clear detailed information for disclosure to relevant
service providing procedures. To reduce details in methods and procedures for the communication and service providing procedures under Paragraph 2, clients shall be informed of the information and risks of
more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b
investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the
together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the
client regarding the risks and characteristics of the bonds to be invested, using either one or more of the following methods; (a) arrange for an employee who can give such information to the client to be
Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately