เกีย่วกับระบบ เทคโนโลยีสารสนเทศ(แบบ RLA) Excel file ตามรูปแบบที่สำนักงาน ก.ล.ต. กำหนดไว้บน เว็บไซต3์ รายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศ และแผนการปรบัปรุงแก้ไขข้อบกพร่อง (แบบ IT audit report) Excel
, 2016 Chapter 2 Application of License and Issuance of Derivatives Business License _____________ Clause 10 An applicant shall file an application with the Office in accordance with form and procedure
Chapter 2 Application of License and Issuance of Derivatives Business License _____________ Clause 10 An applicant shall file an application with the Office in accordance with form and procedure together
. 4) B.E. 2557 8 Chapter 2 Application of License and Issuance of Securities Business License Clause 12 The applicant shall file an application with the SEC Office in accordance with form and procedure
reverse stress test. The securities clearing house shall file the report on results of the tests under (1) and (2) with the SEC Office on a quarterly basis within the fifteenth day of the first month of the
the extreme but possible events of market volatility; (2) a quarterly reverse stress test. The derivatives clearing house shall file the report on results of the tests under (1) and (2) with the SEC
sanction imposed by the Civil Sanction Committee, the SEC will submit the cases for the public attorney to file a lawsuit with the Civil Court. The objectives of the lawsuit are to (1) impose a civil penalty
forward the case to the Settlement Committee to consider fine penalties, and if they refuse to enter the settlement process, the SEC shall file a criminal complaint for further legal proceedings
file a criminal complaint for further legal proceedings. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules