: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head
submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head office or a full-service branch office for approval; (3
following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward
themselves; (2) accept a derivatives trading account opening form and forward the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders
. ๒๕๖๖ (นางพรอนงค์ บุษราตระกูล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการกำกับตลาดทุน SEC Classification : ใช้ภายใน (Internal) SEC Classification : ใช้ภายใน
Governance through Responsible Data" at the SET Sustainability Forum 1/2024: Grounding Greater Governance for Good along with Ms. Wiyada Wiboonsirichai, Head of Global Internal Audit and Compliance, Banpu