capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
as auditor in the capital market shall have the following characteristics: (1) having an audit quality control system which is sufficient and reliable for supervising its auditors’ work performance to
operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality
the Office for supervising and reducing a burden of the company, it was approved that the company should keep a functional record of server and network computer system, application log record and record
front office for 5 days. Ayudhaya Securities Company Limited, For a purpose of the Office for supervising and reducing a burden of the company, it was approved that the company should keep a functional
any of the following characteristics: (a) being subject to restrictions or suspension of business operations ordered by the government or regulatory authority supervising the business operation of such
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of