the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and shall arrange following up and compliance with the said policies and plans
เพิ่มทุนที่เสนอขายต่อประชาชนเป็นการทั่วไปของบริษัทจดทะเบียนมา lock-up (เลขที่ อจค. 33/2560) เอกสารรับฟังความคิดเห็น แบบสำรวจความคิดเห็น | ผลสรุปการรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เอกสารแนบ 1
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
, complete and up-to-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with
Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with new money laundering and financing of terrorism