Outsourcing of Financial Services for Market Intermediaries; Technical Committee of the International Organization of Securities Commissions, February 2005. 2 ข้อ 8(6) ประกอบข้อ 10 ของประกาศคณะกรรมการก ากับตลาด
Commissions (IOSCO) เพ่ือให้สอดคล้องกับเจตนารมณ์ข้างต้น คณะกรรมการ ก.ล.ต. จึงได้ก าหนดหลักเกณฑ์ เงินกองทุนสภาพคล่องสุทธิ (Net Capital - “NC”) ซึ่งก าหนดให้ ผู้ประกอบธุรกิจต้องด ารงเงินกองทุน ด้วยสินทรัพย์สภาพ
expenses Selling expenses consist of sale staff expenses, transportation expenses, commissions and promotion expenses. For the periods of three months and nine months ended 31st Dec 2018, the Company and its
expenses consist of sale staff expenses, transportation expenses, commissions and promotion expenses. For the period of three months and period of 1st half ended 30th Sept 2017, the Company and its
revenue. 1.4 Selling expenses Selling expenses consist of sale staff expenses, transportation expenses, commissions and promotion expenses. For the period of three months and period of nine months ended
Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining
continuity management from other related agencies, such as Business Continuity Institute (BCI)1 or International Organization of Securities Commissions (IOSCO)2. Division 2 Board of directors and senior
of Securities Commissions (“IOSCO”) โดยหน่วยงานดังกล่าวต้องเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of
exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a
member of the International Organization of Securities Commissions (IOSCO). 1 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 1/2553 Re: Rules, Conditions and Procedures