(such as ownership, management, nature of business or financial position); · Changes in the scope of engagement; · Changes in the strategic focus or composition of the firm; · Existing conditions that
assisted in transferring of the trust property if knew or should have known that a trustee had transferred property in contravention to the trust instrument or this Act and such transferring has caused
mutual fund with the Office; (6) transferring ownership of any remaining assets to the Office; (7) undertaking any other actions as deemed necessary for the completion of the liquidation; The liquidator
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
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
level agreement, recovery time objectives (RTO) and recovery point objectives (RPO); (6) set forth the liability if the cloud provider is unable to provide services in accordance with the service