) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre . Clause 6. The securities company shall
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
companies, companies shall inform the SEC shortly, not exceeding the next business day, together with a detailed report of incidents happened, operational procedures and a period of time used or expected to
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal derivatives brokerage ; (9