possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and
operated by the derivatives exchange or other persons; (3) measures to promote and maintain the standard of integrity, reliability as well as fairness in relation to derivatives trading; (4) efficient system
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not
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
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this