scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the
technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness
and standards of conduct. Please be informed and act accordingly. Dissemination of the content hereof to all concerned parties would be highly appreciated. Should you have any query please contact the
SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market products
out on the website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the
highly critical information systems, penetration testing shall be carried out at least once every three years and upon any material change to such systems; 2. for critical information systems apart from
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...
approval in that specific case and that the benefit to be gained does not worth the cost to be incurred in complying with the said rules or conditions; (2) the management company is subject to restrictions