give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a major shareholder, a controlling person, a parent
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
it makes underwriting. Clause 6 Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a
companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once
custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor