of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
access to capital markets securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and
Collective Investment Scheme and Conditions after Approval __________________ Chapter 1 Procedure for Submission of Application __________________ 5 Clause 10 The applicant submitting an application for
) ทั้งน้ี วิธีการที่ใชในการ ตรวจสอบควรเปนวิธีที่มีมาตรฐานเปนที่ยอมรับและเชื่อถือได เชน MD5 (Message Digest 5) และ SHA (Secure Hash Algorithm) เปนตน 1.4 บริษัทหลักทรัพยควรมีระบบที่สามารถปองกันการ
the registrar. The profit for the period therefore decreased as mentioned before. The Company has set procedure to solve the mentioned problem and believes that the ratio of net claim expenses over
procedure for establishment and management of mutual funds, the SEC plans to introduce an auto approval process for plain vanilla funds, which have no complicated features such as investment in derivatives
penalties under Section 296 of the Act in conjunction with Section 86 of the Criminal Code. Both persons agreed to enter the settlement procedure. The Settlement Committee imposed a respective fine of 500,000
procedure to replace the performance of the audit committee because there is less possibility of damage to the customers and requirement of the audit committee may cause unnecessary burden on the business
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect