company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have