possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
providing payment services to clients or the ultimate beneficiary changes materially or inappropriately, or there is a reasonable ground to suspect the reliability, accuracy or completeness of the information
lack of loyalty or practice on code of conduct affecting the reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other
knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 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...
operated by the derivatives exchange or other persons; (3) measures to promote and maintain the standard of integrity, reliability as well as fairness in relation to derivatives trading; (4) efficient system