are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk
Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to prevent the use of securities
. (Unofficial Translation) - 3 - Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to
demonstrated the commitment at management and organizational levels that adopted the policy to refrain from corruption. Furthermore, 19 SET-listed firms achieved level 4 as CAC?s certified members. Besides
วันที่ 15 ตุลาคม 2545 1 NO. (SUTHA-SET) 008/2020/EN 14 May 2020 Subject: Management Discussion and Analysis of the Company and its subsidiary for period ended 31 March 2020 To: The President of the
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
Translation) EMERGENCY DECREE ON DIGITAL ASSET BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https://www.sec.or.th/EN