trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products which are not listed on the
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
ยืดหยุ่นผู้ออกหลักทรัพย์สามารถเปิดเผยข้อมูลที่เกี่ยวกับจำนวนเงินที่ใช้ หรือระยะเวลาที่ใช้เงิน โดยอาจเปิดเผยข้อมูลในลักษณะเป็นช่วง (range) ที่เหมาะสมได้ ดังนี้ (1) กรณีที่ประสงค์จะนำเงินไปซื้อสินทรัพย์หรือ
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
operation and shall demonstrate to the Office that such fund supervisor has arranged to have systems ready for the operation of fund supervisor business under Clause 2(4) and shall have the personnel of the
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment