enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours

การคัดเลือกและ ส่งคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนโดยอัตโนมัติ ซึ่งไม่สามารถถูกแทรกแซงขั้นตอนการส่งคำสั่งได้ ทั้งนี้ เป็นไปตามกลยุทธ์การลงทุนที่ลูกค้าเลือกจากการนำเสนอของบริษัทนายหน้า (program trading

of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading

trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3

derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

mechanism controlling the trading of capital market products that ensures the trading is in accordance with the selected portfolio advisory or investment strategy of program trading as well as monitoring and