post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and
unit and personnel responsible for securities dealing (front office) from work unit and personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
transparent disclosure of information related to execution of trading transactions which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (d
which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (4) having a recording system regarding trading information, especially information
for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post
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