information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person
(2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis
,” and “controlling person” shall mutatis mutandis have the same meanings as defined in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications
opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before opening the account. In
the application document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and