Standard แก้ไขเพิ่มเติม พฤษภาคม 2561 เอกสารเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการลงทุนในหลักทรัพย์ต่างประเทศ การลงทุนในหลักทรัพย์ต่างประเทศมีความเสี่ยง ผู้ลงทุนอาจสูญเสียเงินลงทุนไม่ว่าทั้งหมดหรือบาง

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

separate row. 1.2.2 Product information Give a separate description of each product line or business group in the following matters. (1) Characteristics of products or services and development of business

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

, Clause 37, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating

contributions to social causes by any other means apart from normal business operation ( in-process CSR) may also be disclosed in a separate section ( after-process CSR). Guidelines for CSR disclosure and

Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The

reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of