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
business operator requests to set off against such obligation, the derivatives business operator shall provide collateral for the amount requested for set off to the administrator of the customer estate
, the Office of the Securities and Exchange Commission hereby notifies that 6 July 2009 has been set as a special holiday for securities companies and derivatives business operators. Notified this 11th
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
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
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in
provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
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