securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
which supports the pursuit of the company’s objectives by considering appropriateness of business functions and legal requirement. There is, also effective internal control function. For example, there is
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
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Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
Board on October 1, 2007. It has been reviewed periodically since then to ensure appropriateness, topical consistency and compliance with relevant laws. The SEC Code of Governance imposed on board members
/2543 Re: Guidelines for the Operation Control for the Securities Brokerage and Dealing of Securities That are Not Debt instruments dated 11 October 2000. The repeal of such notifications under the
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the