accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the
evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or
, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
to assess value of assets on investment management of that mutual fund; (c) Real estate management person; (d) Person, which is not state agency, holds shares in the same manner as following: 1. Person
Issuance and Offering for Sale of Securities , mutatis mutandis. The segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or