business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
SEC Secretary-General Ruenvadee Suwanmongkol said: “The free-float criteria are specified by SET with the SEC Board’s approval. They carry a significant importance to the trading liquidity of listed
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the