No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11
to establish a branch office in foreign countries shall submit an application to the Office in accordance with the forms and procedures set out in electronic system of the Office. Clause 12. The
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
--------------------------- Clause 11. The securities company wishing to establish a branch office in foreign countries shall submit an application to the Office in accordance with the forms and procedures set out in electronic
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish