transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] o Providing an assessment of importance effect in witting
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
) provide service in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
May 2004. Clause 2. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs