) arrange for the personnel of the intermediary or an outsourcee (if any) to have in place confidentiality or a non-disclosure agreement. Clause 23 An intermediary shall establish measures for operations

/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the

Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish

Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the