for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
) evaluated by a person with required knowledge and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
. Thomas Frakes and company’s stamp Expected Benefits 1. Increased income from the expansion of distribution channels as well as improved service for existing customer base; and more credibility by switching
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
. (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remarks: The reason for promulgation of this Notification is to ensure the reliability and credibility of
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control