violates or fails to comply with the rules under Clause 22 or Clause 25; (4) the auditor fails to make rectification to maintain qualifications under Clause 23 within the time period specified by such Clause
-misleading information. Clause 20 The CIS operator [who has granted the approval for the offer for sake of units of foreign collective investment scheme] shall maintain the qualifications as required in the
Infrastructure Support ทำหน้าที่ test, implement, deploy, maintain, review และ administrator infrastructure (hardware/software) ด้านการรักษาความปลอดภัยของระบบเครือข่าย รวมถึงติดตามแก้ไขกิจกรรมผิดปกติบนเครือข่าย
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons
according to portfolio advisory or investment strategy of program trading shall comply with Division 2. Clause 41/2 An intermediary shall keep information and evidence on providing services under this Chapter
trading order of capital market products according to portfolio advisory or investment strategy of program trading shall comply with Division 2. Clause 41/2 An intermediary shall keep information and
discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a
to enable the benefit of its usage for other organizations as well as for the company. The environmental cost accounting helps the Company to keep track with the information which is useful for