of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall
Clause 23 and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors . Chapter 2 Organizational Structure, Operation System, and
and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
> O ต้องแบ่งแยกบุคลากรที่ปฏิบัติหน้าที่ในส่วนการพัฒนาระบบงาน (developer) ออกจากบุคลากรที่ทำหน้าที่บริหารระบบ (system administrator) ซึ่ง
the third quarter of 2018, the overall banking system still showed rising net profit over-year due to a decrease in impairment loss on loan and debt securities. Nonetheless, fee income was still on a
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
; (2) risk management system for prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities