available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
ตลาดหลักทรัพย์ C:\Users\lalidac\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\UUHTEH5S\ประกาศวันหยุดเพิ่มเติม 11 สค 57.doc
SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of
จาตุศรีพิทักษ์) รัฐมนตรีว่าการกระทรวงการคลัง ประธานกรรมการ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\orawanp\Local Settings\Temporary Internet Files\OLKC3\ร่างประกาศชื่อสถาบัน
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
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