institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

calculate the limits for each investment policy instead of for each fund, except for the investment limits set out in Clause 54.” Clause 4. In calculating limits for additional investment in assets by

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

securities business license in the category of securities brokerage not limited to debt securities or investment units in compliance with the requirements set out in Clause 5(3) or (4), as the case may be

the requirements set out in Clause 5(3) or (4), as the case may be, until 31 December 2011; (5) the following licensee of derivatives business license type Sor-1 shall maintain the status as a legal

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

be entitled to obtain reimbursement from proceeds or property out of the trust property unless the trust instrument specifies that the payment shall be borne by the trustee. The right to obtain

must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April

service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5