ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete
form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the
) / Father's Given Name ชื่อมารดา (ไม่ต้องระบุ นามสกุล) Mother's Given Name ข้าพเจ้าขอรับรองว่าข้อความข้างต้นเป็นจริงทุกประการ / I hereby certify that the above information is complete and true in all respects
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
projects of the Regulatory Guillotine scheme is scheduled to complete within the period of 2020-2021. The examples of pilot projects are as follows:1. Project to develop paperless processes for submission to
shall apply to the approval of auditors of businesses in the capital market. In this regard, the auditors approved by the SEC Office under this Notification shall be allowed to perform audit work and
supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case
of such action. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure