other practice guidelines to support continuity of operation. Division 6 Communications with relevant persons 6.1 To prevent and lessen anxiety of relevant persons and the public as well as to be able to
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
circumstances which may significantly affect the management company or may cause damages to customers or investors. Such plan shall be stress-tested, reviewed and improved to be up-to-date and to be suitable for
ประกอบธุรกิจเพื่อป้องกันอาชญากรรมทางคอมพิวเตอร์ (cyber crime) และทบทวนแบบจำลองการตรวจสอบและระบุปัจจัยที่เหมาะสมสามารถรองรับความเสี่ยงต่อระบบ (systemic risk) และจัดทำแบบทดสอบภาวะวิกฤต (stress test) รวมทั้ง
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for