ทรัสต์ (unit trust) (3) ตราสารหรือหลักฐานแสดงสิทธิในทรัพย์สินของโครงการจัดการลงทุน “ผู้รับผิดชอบในการดำเนินการ” (CIS operator) หมายความว่า ผู้รับผิดชอบในการดำเนินการ

to the work unit responsible for post-trade 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

responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading to the work unit responsible for post-trade

, and whose unit holders are all institutional investors in accordance with the definition of “ institutional investor ” in the Notification of the Office of the Securities and Exchange Commission No. Sor

to the date on which this Notification comes into force, and whose unit holders are all institutional investors in accordance with the definition of “institutional investor” in the Notification of the

to the date on which this Notification comes into force, and whose unit holders are all institutional investors in accordance with the definition of “institutional investor” in the Notification of the

case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet

in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal

in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal

criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards