of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
ที1 over hedge (คาํนวณจาก notional value / NAV) ไปคาํนวณรวมใน derivatives limit ตาม commitment approach ดว้ย (2) การคาํนวณ counterparty limit ที1ใหมี้การ netting สัญญาภายใตคู้่สัญญาเดียวกนัได ้ทาํให
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
its trading and settlement system in the derivatives market or any written and legally enforceable commitment by its parent company to provide financial support to the derivatives clearing house to be
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after
in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures
specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the unitholders and the management company; (3) the prospectus for
specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the unitholders and the management company; (3) the prospectus for