the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of change of children’s
management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However