postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or
contingency operation .[M] 2.3 Temperature and humidity controlling system · Controlling the environment condition which have temperature and humidity appropriately according to settle the temperature of the
disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the
) 8.1 Companies should arrange a training and communication on the BCP to relevant persons, either inside or outside, regularly, as well as shall test the BCP to be in line with an actual situation
efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform