operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
intermediary itself or a connected person , in addition to compliance with the provisions under Clause 22 (1) and (2) of the Notification on Standard Conduct of Business , the intermediary shall disclose
In the case where an intermediary enters into a transaction for a client with the intermediary itself or a connected person, in addition to compliance with the provisions under Clause 22 (1) and (2) of
oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
Requirement 3: FPIC Component Requirement Demonstration of compliance Free, Prior and Informed Consent FPIC must be sought when property rights are potentially affected or projects may lead to the removal or
evidence: (1) certification letter and consent letter of the audit firm to which the applicant is attached which certifies and gives consent in the following matters, as per Form 61-2 which is available on