, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
: ตั้งแต่เมษายน 2567 ถึง มิถุนายน 2567 ข้อมูล ณ วันที่ : 1/8/2024 10:38:13 On-Demand ไม่มีบริษัทขอรับใบอนุญาต _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal)
หรือนอกระบบ (internal wallet or external wallet) cust_type ประเภทของนักลงทุน transaction_date วันที่ทำธุรกรรม qnt ปริมาณ asset(เหรียญ) ที่ถูกทำธุรกรรม value_thb มูลค่าหน่วยบาท fee ค่าธรรมเนียม fee_thb
9,465 15,514 0 ประชาชนทั่วไป 3,163 4,008 2,930 10,015 7,626 13,961 3,074 10,251 รวม 23,332 14,289 13,321 22,010 10,076 23,426 18,588 10,251 &1#&"Tahoma"&12&KC0C0C0SEC Classification : ใช้ภายใน (Internal)