4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A

a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party

, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed

supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations

respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund

Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or

Clause 30 of the Notification on Standard Conduct of Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain

กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง