contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
operation in foreign countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
management companies with clear operational direction toward achieving net-zero emissions, supporting the sustainable growth of Thailand’s fund and capital market industry. Ms. Nataya Niyamanusorn, SEC
Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient system relating to operational management
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of