, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
and does not have any prohibited characteristics under Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board concerning
qualifications and does not have any prohibited characteristics under Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board
qualifications and does not have any prohibited characteristics under Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board