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
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the regulatory authority for information
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchan...
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours