. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system
investors or the overall capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following
capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following rules: (1) having a
executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. In granting an approval under
orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. 14 In granting an approval under the first
) an efficient system for receiving and executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary ’s offices, for example, internal audit
or changing of the content of the conversations, etc.; (3) an efficient system for receiving and executing trading orders; 17 (4) an internal audit and control system for accepting trading orders
reason is that, in 2018, the Company lost control over the subsidiaries, decreasing trading securities by Baht 103 million and the group of the Company had sold and transferred trading securities
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