....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...
to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in
responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading to the work unit responsible for post-trade
(Recovery point objective), such as data on assets of customers and funds, securities or unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no
unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no significant impact to customers, business operation and a compliance with regulations in
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal
income fund* SEC, Thailand Equity fund Mixed fund Alternative investment fund Country concentration**Foreign investment asset class (TB) **Based on foreign direct investment (unit trust not included