laundering control; (9) Having been sentenced for commission of any offense under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit foncier businesses, the
securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any
1 Operation Control Clause 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
given to any person that suitable to investment objective, financial status or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
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 legal entity or law controlling business
มั่นใจว่า คำสั่งซื้อขาย มาจากลูกค้าเจ้าของบัญชีหรือผู้ได้รับมอบอำนาจ ก่อนที่จะดำเนินการส่งคำสั่งเข้า TFEX ข) ระบบ Credit Control ที่รัดกุม ทำให้มั่นใจว่า 1) ลูกค้ารายย่อยได้มีการวาง initial margin ก่อนส่ง