metal 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
shall comply with the following conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and
shall comply with the following conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and
education, the SEC initiated various projects and activities to facilitate good ecosystem and readiness for capital market growth in the future, as follows: Increase auditors in the capital market In 2019
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 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, a...
) assessment of preparedness to manage the real estate investment before accepting to be the REIT manager or before more investing in new real estate for the REIT, as the case may be; (b) analysis of the
experience, expertise, and readiness to directly store financial assets, enabling them to offer services to other entities with the same primary shareholders if those providers can comply with following
understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
risk in the future given the different levels of technological readiness among peers, and between banks and other businesses, as well as sudden shifts in circumstance such as a change in transaction
natural disasters and impacts of climate change 14. Focusing on investment in public and private sectors’ climate-friendly infrastructure development 15. Developing preparedness and response systems for