สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ("สำนักงาน") จะจัดอบรมเชิงปฏิบัติการ (Compliance Meeting) ไตรมาส 3/2553 ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลักทรัพย์ (Xompliance officer) ในวันพฤหัสบดี
. Level 2 of the floor slab is fully completed, and level 3 is now in the process of casting continually. MahaSamutr Project: The constructive progression of MahaSamutr Villa is almost completed. The
completed, and level 3 is now in the process of casting continually. MahaSamutr Project: The constructive progression of MahaSamutr Villa is almost completed. The diagonal roofing façade structure at Country
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities