client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and
improvement in its business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
subsidiary acquired new fixed assets amounting to 135.46 million baht in which derived from purchase of land and factory building from related person for the subsidiary’s lease for operation amounting to 60.34
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House
147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Guideline on the commencement for operation of securities / derivatives business
lists out the Group’s laws, policies and expectations pertaining to fair competition, sanctions and export control, brands and intellectual property , respect, dignity and fair https://www.sec.or.th/TH
the Group’s laws, policies and expectations pertaining to fair competition, sanctions and export control, brands and intellectual property , respect, dignity and fair https://www.sec.or.th/TH/Documents
the Group’s laws, policies and expectations pertaining to fair competition, sanctions and export control, brands and intellectual property , respect, dignity and fair https://www.sec.or.th/TH/Documents