operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in accordance with the relevant rules and for the work
cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative from appointing a sub-representative; **(4) stipulating that the representative must cooperate
compliance with the rules of selling or redeeming investment units or client solicitation, and to cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of
, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess the BCP of the main service providers, by which
relation to the test to be complete and up- to-date, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess
year 2018. This was a result of both short-term and long-term borrowings increased by 9% from the end of last year to 69,437 million baht. The portion of long-term borrowings was 43,509 million baht or