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

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 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

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

and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force

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

established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i

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

the following rules: (1) establish a policy, measures and procedures for outsourcing operational function to a service provider in accordance with the rules prescribed in Chapter 1; (2) outsource the

licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor