business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
preventing system installed and notify concern person instantly in case appeared that found virus. [M] 9. Audit log. · Providing a record of functional of server and network computer system, application log
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
อสังหาริมทรัพย์ (ประมวล) การจัดกลุ่ม การจัดกลุ่มอุตสาหกรรม ในระยะแรกตลาดหลักทรัพย์ฯจัดหน่วยลงทุนของกองทุนรวมอสังหาริมทรัพย์ ไว้ในหมวดธุรกิจพัฒนาอสังหาริมทรัพย์ (Property Development Sector) เพื่อให้สอดคล้องกับ
2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
ประเมินมาตรฐานการกำกับดูแล Financial Sector Assessment Program (FSAP) ในหัวข้อเกี่ยวกับผู้สอบบัญชี (auditor) ในระดับไม่ต่ำกว่า broadly implemented (2) กรณีอื่นนอกจาก (1) คำขอละ 200,000 บาท” ข้อ 5 ประกาศนี้
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may