the securities company or employee of the securities company. Clause 18 . A securities company shall trade securities to conform to the instruction of the owner of the account and shall have a reliable

office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading

securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19

and issuance of debenture, etc. (e) Payment of additional remuneration to the director of the company, the offering of securities to the director and employee of the company (f) Processing transaction

entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is

for the securities business account receivable and accrued interests which unexpected to collect within the accounting period In the case of debtor occurring from the corruption of employee and a debtor

cases where a client wishes to trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such

against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and

หลักทรัพย์อาจไม่แสดงรายการนั้นก็ได้ โดยการแสดงรายการให้เรียงตามลำดับดังนี้ ลูกหนี้การค้า (Trade receivables) ให้แสดงต่อจากรายการที่ 4 (ลูกหนี้ธุรกิจหลักทรัพย์และสัญญาซื้อขายล่วงหน้า) สินค้าคงเหลือ

trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such specific risks, the intermediary