capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
regulatory provisions, market credibility requires that their status in terms of coverage, implementation, compliance and sanctions is clearly specified. C. The division of responsibilities among different
for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be deemed that an intermediary has already complied with this
Broker. Clause 6 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be
for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be deemed that an intermediary has already complied with this
for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be deemed that an intermediary has already complied with this
the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with
the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with
วัตถุประสงค์ตามข้อ 1 และข้อ 2 ดังกล่าว ข้างต้น จะต้องได้รับความเห็นชอบจากบุคลากรที่ได้รับมอบหมาย (เช่น compliance) ก่อน 3. มีการตรวจสอบและถ่วงดุลการปฏิบัติงาน (check and balance) โดยกำหนดให้มีผู้ทำหน้าที่กำกับ