SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
registration statement have shown the financial status, the operational performance and the cash flow of the issuer correctly and completely in all material respects. In this regard, as evidence that each and
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
Operational Matters and Part II : The Product Restrictions of Qualifying CIS as prescribed in Appendix C : Standards of Qualifying CIS of the Memorandum of Understanding on Streamlined Authorisation Framework
subsidiary company to enter into transaction to purchase assets from Exact Q Co., Ltd. who is a connected party to the company, in an amount of not exceeding Baht 18,000,000.-, according to transaction details
Regulator, and is an accurate translation of that text (where applicable). In this regard, as evidence that each and every page of the documents is of the exact documents to which I/we have certified, I/we
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No