the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
- organization chart - รายชื่อและตำแหน่งผู้บริหารสอดคล้องกับ organization chart หรือไม่ - กรณีเป็น holding company ได้ระบุข้อมูลผู้บริหารของ บริษัทย่อยที่ประกอบธุรกิจหลัก - รายชื่อและตำแหน่งของผู้บริหาร
attachments herein. 8.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding company, specify also the names and positions of
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
of the directors of the subsidiaries in Attachment 2. 10.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding
under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the