business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a

should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of

liabilities which the derivatives broker shall pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the Office of the Securities

pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the SEC Office. (6) “ qualified liabilities ” means (a) liabilities

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason and a waiver is granted by the Office: (1

under Clause 14(3); The process under (2) must enable the securities company to monitor and review the client’s records soon after the circumstances in (a) and (b) occur, and within timeframe specified by

prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur

/scheme and investment restrictions that are required by the laws and regulations. (3) Having risk management system for the risk which may occur. (4) Determination of the investment committee meeting to be

that may occur if the expected return of an investment is not met; (4) provide tools or media for providing information on the high-risk or complex capital market products for clients’ better