programs/checklists and describe any such changes or updates. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures, and TSQM A5 To promote timeliness and
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
arrangement to ensure that the relevant service UNOFFICIAL TRANSLATION provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out
established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the
corporate governance where Thailand obtained 82.83 out of 100 in CG ROSC assessment while ranked the third in Asia in CG Watch assessment and assessed with the highest score among six ASEAN countries in ASEAN
concrete improvement in the aspect of corporate governance where Thailand obtained 82.83 out of 100 in CG ROSC assessment while ranked the third in Asia in CG Watch assessment and assessed with the highest
Business Development, Ministry of Commerce, shall be authorized to make a change of and an addition to wordings in order to comply with the order of the registrar as well as carry out any necessary or
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity