with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance, internal audit or
, internal audit or risk management; (4) being able to show that no major shareholder has any prohibited characteristic as specified in Paragraph 2 of Section 25 and the Notification of the Capital Market
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
following evidentiary documentation: (1) details of the work system for preparing, procesing, storing and reporting provision of services as securities registrar, including the internal control system
PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การเตรยีมการของผูจ้ดัเตรยีมค าขอ/ แบบรายงาน และเจา้หนา้ทีป่ฏบิตักิาร SEC Classification : ใชภ้ายใน (Internal) 2