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

gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity

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

with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy

No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14

Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as

manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A

or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal