pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
following two business days; (2) improving the capability to maintain collateral and liquid asset adequacy for a period of not less than seven consecutive business days, within thirty days from the date on
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
done without any ground to believe that its financial status may cause damage or any circumstance indicates an ongoing financial problem; (b) capability and readiness for operational function which shall
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