executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. In granting an approval under
orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. 14 In granting an approval under the first
, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the intermediary shall comply
In case the association determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing
QUARTERLY BUSINESS HIGHLIGHTS – 3M 2020 Consolidated revenue decreased by 13.7% YoY to THB 612mn o Advertising revenue increased by 3.1% YoY to THB 270mn o System integration services revenue decreased by
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries; (e) record of complaints or
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association