Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)
Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
: ......................................................................................................................................................... 3. Starting date of operation: ................................................................................................................................................................... 4
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after