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
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities
law on commercial banking or law on business of financial; (6) “ securities company ” means any securities company under the law governing securities and exchange; (7) “ company ” means a limited
Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification; “derivatives business operator” means any company licensed to undertake derivatives business in the
derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to