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
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
against other businesses of the major shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of