securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
access to inside information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of
application for derivatives business operator registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/1 In case where registered
registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/16 In case where registered derivatives business operator has ceased the status
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
). Businesses approved to offer for sale of securities within 2013 will enjoy several privileges. Deputy Prime Minister and Minister of Interior Yongyuth Wichaidit announced, ?Pride of the Province is cooperation
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and
and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal