เหลือหรือรู้เห็นว่ามีการใช้เงินกู้นอกระบบในการซื้อขายหลักทรัพย์/สัญญาซื้อขายล่วงหน้า เป็นต้น (6) การปฏิบัติงานด้วยความระมัดระวังไม่ให้เกิดความขัดแย้งทางผลประโยชน์ (conflict of interest) เช่น (6.1) หลีก
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
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
business to demonstrate the availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management
availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management and internal audit and control
view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests, leaking
the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests