responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
identified by the SEC The recommendations for improvement Findings identified by the SEC The recommendations for improvement 3. Acceptance and Continuance of Client Relationships The process of accepting and
Court. The total amount of the lawsuit is 323,296,077.43 THB due to lack of clear guidelines from MAT. On November 20, 2017, the defense attorney requested for the case to be postponed by giving reasons
Court. The total amount of the lawsuit is 323,296,077.43 THB due to lack of clear guidelines from MAT. On November 20, 2017, the defense attorney requested for the case to be postponed by giving reasons
Thonburi Civil Court. The total amount of the lawsuit is 323,296,077.43 THB due to lack of clear guidelines from MAT. On November 20, 2017, the defense attorney requested for the case to be postponed by
line of defense หรือ IT security ที่มีความอิสระจากหน่วยงานที่ถูกสอบทาน หรือไม่มีส่วนได้เสีย เป็นต้น เพื่อให้มั่นใจว่าได้ปฏิบัติตามการควบคุมที่พึงมีตามแนวปฏิบัติของสำนักงานได้ครบถ้วนและสม่ำเสมอ Level 5
จัดการความเสี่ยงได้ เทียบเท่ากับการควบคุมที่พึงมี Level 4 (M4) ปฏิบัติได้ตาม Level 3 และผู้ประกอบธุรกิจมีกระบวนการสอบทาน หรือติดตามผล เช่น สอบทานการ ปฏิบัติงานโดย 2nd line of defense หรือ IT security ที
giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 16 Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168