operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office

website. 2.2 Risk factors on business operation 2.2.1 Operational risk associated with the Company or the group of companies, both current risks and emerging risks in the next 3-5 years. Identify and

intermediary shall comply with those standards as well. In case the association specifies the guideline, having obtained an approval from the SEC Office, regarding operational standards of intermediary ’s

โดยคำนวณมูลค่าตามราคาตลาดของการจัดการสัญญาซื้อขายล่วงหน้าสำหรับคู่สัญญาแต่ละรายอย่างถูกต้องเหมาะสมและทันต่อเหตุการณ์ · มีระบบฐานข้อมูลที่สามารถวัด current value (exposure) ที่เกิดขึ้นกับคู่สัญญาแต่ละราย

Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of