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control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
(Newest) Date (Oldest) SEC Search ( 2 ) http://172.19.1.196:8983/solr/secweb/select?q= electronic possession OR " electronic possession " OR " electrical ownership " OR " electrical control" OR "digital
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
2017 > CG Code > Principle 6 Strengthen Effective Risk Management and Internal Control CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
business is under control of the persons under (1) (2) (3) or (4). Trading / disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives