capital market, therefore it conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or
appropriate methods and in sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order
providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no
personnel responsible for providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such