at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies, so as to ensure compliance with this
to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies
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
, by at least conducting the following tests: (1) a daily stress test using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
non-prosecution order http://market.sec.or.th/public/idisc/en/Enforce SEC eases rules on establishment of audit committee of securities companies customers’ assets in its possession to have at least 2
securities companies customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have