shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are

, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine

wipe-out, etc.; (3) determine the types of application services that allow using via mobile devices. Establish a measure for control of access to such application services by taking into consideration

into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units

future, this Notification is issued to determine the rules regarding permission to qualified derivatives broker to establish branch offices in foreign countries so it is deemed expedient to issue this

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

and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the

, please provide us the result of quality review. 5 Does the firm establish the progression route within the firm out of training contract and how senior managers/directors/ partners promoted – what criteria

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the