effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled
ตามหลัก need to know ที่กำหนดสิทธิไว้ 5. หน่วยงานกำกับดูแลการปฏิบัติงานของผู้ประกอบธุรกิจ (Compliance Unit) ต้องดำเนินการตรวจสอบเพื่อให้มั่นใจได้ว่า การดำเนินการของผู้ประกอบธุรกิจเป็นไปตาม
securities and exchange and relevant rules issued thereunder; (2) requiring the representative to act in compliance with the rules of selling or redeeming investment units or client solicitation , and to
compliance with the rules of selling or redeeming investment units or client solicitation, and to cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative
Office under this Notification. Clause 19. All notifications, orders and circular letters issued under or providing guidelines for compliance with the Notification of the Office of the Securities and
compliance with the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 which were effective
deemed terminated, except the case of non- compliance with the conditions under (1) and (2), the Office shall proceed in accordance with rules and procedures prescribed in the Notification of the Capital
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards