) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
) the applicant shall put in place systems of work that are equipped to accommodate the procedures for issuing depositary receipts and the undertaking under the commitments in the depositary agreement
public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no
personnel responsible for providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such
January 2020, at the early stage before a widespread of COVID-19 was prevalent in Thailand. Several precautionary measures have been put in place to ensure the overall employee’s health and safety, as top