notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1

reasonably practicable given the different time zones and public holidays of the jurisdictions). Yes No If “No”, please specify __________________________________________________

to cover a disruption possibly occured in every incident and a case where an occurrence of emergency incidents lasts a long time or results in damage covering wide areas, such as epidamics or a failure

Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately

benefit Thai investors or the Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support

areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure

control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics

technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness

processing completely, accurately, and effectively such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Clause 9 An intermediary shall establish