, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii] the intermediary ’s personnel would be able to complete their
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
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary
; (3) give the name and contact details of the derivatives broker in order for the client to be able to make enquiries on the giving of advice; and (4) comply with the criteria for the translation of
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
, the management company shall be granted relaxation to postpone the calculation until the management company is able to determine the fair value of equity instruments issued by PTT Public Company Limited
securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the
shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2