ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information
cost control. Net profit ( pre- TFRS 16) declined - 23% YoY, - 6. 5% QoQ from unrealized foreign exchange loss and increasing D&A, while excluding foreign exchange effect net profit declined - 21% YoY
268.7 million or 49.2 percent from 2018 is caused from growth in gross profit from increase in sales and service income and improvement of costing control. Including the cash management from capital
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
to separate client’s assets from custodian’s assets, safe keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to
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
มั่นใจว่า คำสั่งซื้อขาย มาจากลูกค้าเจ้าของบัญชีหรือผู้ได้รับมอบอำนาจ ก่อนที่จะดำเนินการส่งคำสั่งเข้า TFEX ข) ระบบ Credit Control ที่รัดกุม ทำให้มั่นใจว่า 1) ลูกค้ารายย่อยได้มีการวาง initial margin ก่อนส่ง