compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
Clause 4 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
เกี่ยวข้องกับข้อมูลของลูกค้า งานตรวจสอบภายใน งานกำกับดูแลการปฏิบัติงานของบริษัทหลักทรัพย์ (compliance) หรืองานสนับสนุนที่มีลักษณะคล้ายคลึงกับ งานดังกล่าว “สำนักงาน” หมายความว่า สำนักงานคณะกรรมการกำกับหลัก
license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following
licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license