Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
infrastructure risk. Compliance Guideline · Segregating l the developer from the system administrator that perform in the production environment. · Providing a written job description which identified clearly
Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary
; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds
account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for
OTC เพียงด้านเดียว (open out right position) โดยไม่มีฐานะอื่นมาหักกลบแบบเต็มจำนวนหรือบางส่วน ให้บริษัทคิดค่าความเสี่ยงของ OTC derivatives ดังกล่าวเท่ากับ 40% ของมูลค่าสินทรัพย์อ้างอิงของสัญญาดังกล่าว
qualification and what is the criteria for making manager/senior manager/partner. What is the focus on performance - commerciality or technical competence? 3 What is the focus / objectives for audit staff at job