upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph
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
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an