compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February 2006 which have
guidelines for compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February
is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration
fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration who is a
capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance, internal audit or
products in the capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance
รายงานการกำกับดูแลและการตรวจสอบประจำปี (annual compliance report) 27/05/2546 27/05/2546 แนวทางการจัดทำรายงานกำกับดูแลและการตรวจสอบการปฏิบัติงานประจำปี (annual compliance report) 33. หนังสือเวียน ที่