laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the

Office” means a securities company’s branch office in Thailand that provides services through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and

process as necessary. Chapter 2 Criteria for Approval to Use Back Office Service Clause 5 Except as specified in Clause 7, derivatives broker can use back office service from service provider that has

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

persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient

. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of

กิจการในเรื่องดังต่อไปนี้ และหากไม่ได้มีการปฏิบัติตาม code of best practices ของ SET ในเรื่องใด ให้ระบุเรื่องที่ ไม่ปฏิบัติตามและแสดงเหตุผลประกอบด้วย 9.1 นโยบายการกำกับดูแลกิจการ 9.2 คณะกรรมการชุดย่อย (1

companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once

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