4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in
shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement that may
. Derivatives broker shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement
transition is permitted by Clause 10 of the Notification thereinafter which management company shall arrange the appointed juristic person to comply with the rule under this sub clause as soon as possible, but
permitted by Clause 10 of the Notification thereinafter which management company shall arrange the appointed juristic person to comply with the rule under this sub clause as soon as possible, but not later
can transport up to 15-20 guests per round and situate in front of the entrance of restaurant. Therefore, it shall be the unique outdoor hydraulic platform. Cherdchaiwon is hired upon the Agreement in