TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
access granting policy to the workpapers server and restrict the access to only those with necessity. • Identify complete related parties. Establish the policy and procedure on the consideration of
difference in the procedures to the extent that it will not materially change the work system and personnel provided in the application; (2) the rules and regulations of the derivatives exchange necessary for
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
และรายงาน ประจ าปี ได้หรือไม่ 20 เอกสารแนบท้ายหนังสือเวียน ข้อ 4.13 หน้า 8 ระบุตัวอย่างสถานการณ์ที่ควรก าหนด restrict list ว่า บริษัทจัดการอยู่ระหว่างเตรียม ก าหนดการจ่ายเงินปันผลให้แก่ผู้ถือหน่วยลงทุน
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is