sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
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
Thailand specified the restrictions shall be imposed by virtue of the law ,along with Clause 1 of the Notification of the Securities and Exchange Commission Re: Rules and time for submitting securities
operation is in accordance with the terms specified in the service level agreement; (d) effectiveness for adopting new IT system in business operation. For example, monitoring of the operating time after the
client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions (if any), as
) Remark Length 1 รหัสบริษัทจัดการ - Char(3) 2 วันที่รายงาน - Char(2) 3 เดือนที่รายงาน - Char(2) 4 ปีที่รายงาน(ปี พ.ศ.) - Char(4) 5 ประเภทรายงาน D = ข้อมูลประจำวัน M = ข้อมูลประจำเดือน Y = ข้อมูลประจำปี เป็น
: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week
securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or