intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of
automated หรือการควบคุมแบบป้องกันและติดตาม 10.4 บริษัทกำหนดให้มีการควบคุมภายในในทุกระดับขององค์กร เช่น ทั้งระดับ กลุ่มบริษัท หน่วยธุรกิจ สายงาน ฝ่ายงาน แผนก หรือกระบวนการ 10.5 บริษัทมีการแบ่งแยกหน้าที่ความรับ
advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the
under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the
conduct shall be disclosed in attachment for investors to understand and use them as guidelines for monitoring future business direction. 6.3 Material changes and developments regarding policy, guidelines
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
the process of running automated tools against defined IP addresses or IP ranges to identify known vulnerabilities in the CS environment. A report is generated and IT team will assess and manage system
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification