for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to
establishment of full-service branch office or online branch office to the Office prior to the date the branch office starts its operation in accordance with the format set out in an electronic system of the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
Intermediaries By virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 (2013) Re: Standard Conduct of Business Operation, Management
Office by the delegation of the Bank of Thailand; “ Notification on Standard of Business Operation ” means the Capital Market Supervisory Board Notification concerning Standard Conduct of Business
; “ Notification on Standard of Business Operation ” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no