derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the elaborate

conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6

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...

show the readiness of its work system in undertaking gold derivatives brokerage business; (9) Being able to show the readiness of its personnel in charge of gold derivatives brokerage business. Clause 4

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office

a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and

juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and ensuring

countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good

contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the