ยืมหลักทรัพย์กับผู้ให้ยืมหลักทรัพย์ (Standing agreement)เป็นต้น 1.2 บล. ต้องมีกระบวนการในการตรวจสอบและควบคุมการปฏิบัติงาน เพื่อให้มั่นใจว่า บล. มีหลักทรัพย์ที่สามารถส่งมอบได้ เช่น ในภาค
advice; (6) measure on prevention of conflict of interests provided by the investment advisory company; (7) procedure and source of information used in giving advice to the customer; (8) procedure and
new WLTP (Worldwide Harmonised Light Vehicle Test Procedure) that became mandatory from the start of September 2018, which affected mostly car sales in Europe. However, sales in THB terms were
). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
-up capital as prescribed under Clause 10(4). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the
guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure manual and compliance manual; (3
conglomerate; (2) Documents showing guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure
) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity