network system, it shall given an approval by the authorized person and limit the operation for the necessary case only. [M] 6. Configuration management · Prior to configure the system and computer device

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well

aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable

investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of

(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้

by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display

the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication