notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operators.
the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.
providing securities underwriting service or services limited as online branch office, or in case of the online branch office, the securities company shall extend its office hours to not early than 7.00 A.M
that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of
inspection and further consideration are needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the thirty days period. The Office may extend the consideration
การคัดเลือกและ ส่งคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนโดยอัตโนมัติ ซึ่งไม่สามารถถูกแทรกแซงขั้นตอนการส่งคำสั่งได้ ทั้งนี้ เป็นไปตามกลยุทธ์การลงทุนที่ลูกค้าเลือกจากการนำเสนอของบริษัทนายหน้า (program trading
ในหลักสูตรดังต่อไปนี้ (1) Certified Investment and Securities Analysts Program (CISA) ระดับ 1 ขึ้นไป ซึ่งจัดสอบโดยสมาคมนักวิเคราะห์หลักทรัพย์ (2) Chartered Financial Analyst (CFA) ระดับ 1 ขึ้นไป ซึ่ง
): [ ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [ ] Director
examined by the SEC Office. Chapter 7/1( Providing Services of Portfolio Advisory or Program Trading _____________________ Clause 41/1 Providing services of portfolio advisory or program trading shall comply
loophole of program of system software such as DBMS operational system and web server etc.. [M] · Testing the system software related to the security and operation effectiveness prior to installment and