1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in

or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system

Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including

registration under Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business

กรกฎาคม 2547 และที่ น.(ว) 27/2547 เรื่อง นำส่งรหัสผ่าน เพื่อเข้าระบบ FTRS (Fund Transaction Reporting System) เพื่อรองรับการส่งข้อมูลกองทุนรวมในรูปแบบ แฟ้มข้อความ ลงวันที่ 31 สิงหาคม 2547 ความละเอียดแจ้ง

custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner

. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in

assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is

electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the