) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
directly with CBP. The value of sub-leasehold right to be sold to the Trust will be at least THB 1,922.80 million and not exceeding to THB 2,235.00 million. Approved the Company and PD to enter into an
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
an auditor who affixes signature in giving opinions on auditing for at least three years during a five-year period before the filing date of the application for approval with the SEC Office unless
information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work
personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized