subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from the date on which the securities underwriter collects
. In making securities underwriting, a securities underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money
underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter
into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from the date on which the securities
executive to be the accountable person in complying with Clause10 (1) and (2); 2. In complying with Clause 10 (2), the intermediary should clearly segregate duties of operations relating to information
” อย่างสม่ำเสมอนั้น มาจากการที่หัวหน้าสำนักงานไดก้ำหนด tone at the top ที่ให้ความสำคัญกับคุณภาพและการปฏิบัติตาม จรรยาบรรณของผู้สอบบัญชีเป็นลำดับแรก โดยมีการพัฒนาระบบควบคุมคุณภาพงานสอบบัญชีอย่างต่อเนื่อง ใน
กัเกณฑท่ี์ ธปท. ก าหนด ผูป้ระกอบธุรกิจจดัเก็บขอ้มูลโดยการ Segregate บญัชีและจดัท าบญัชี หลกัทรัพยร์ายลูกคา้ (กรณีเปิดบญัชีในนามของลูกคา้โดยตรง ผูป้ระกอบธุรกิจสามารถจดัเก็บ ขอ้มูลส าหรับลูกคา้แต่ละรายและจดัท
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...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 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...