structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be
within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable to employees of the securities company
indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
deceases, resigns, or whose approval is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
conglomerate) การท าธุรกรรมกับบุคคลที่เกี่ยวข้องจึงเป็นเรื่องยากที่จะหลีกเลี่ยง (เช่น การส่งค าสั่งซื้อขายหลักทรัพย์ผ่านบริษัทหลักทรัพย์ในเครือ การลงทุนในตราสารที่ออกหรือจัดจ าหน่ายโดย ธนาคารพาณิชย์ (“ธพ.”) ที่