for amending trading transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities

from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise

and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is

and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is

to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly

, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may

THE WISDOM brand to mark its 10th anniversary and maintain our leadership status through the delivery of extraordinary experience and knowledge to our clients under the Forward Your WISDOM concept. One

ทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการก ากับตลาดทุน ปรับปรุงให้ เป็นไปตามที่ ระบุในคู่มือ ประชาชน ผู้ประกอบธุรกิจ ที่ outsource งานให้กับ ผู้ให้บริการ ไม่ต้องมีภาระ ในการ supervise ผู้ให้บริการ

inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication

stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service