information e.g. prescription of the area for concerned personal 1.1.3 Supervision of the Line of Operation (1) Having a system for cross checking of the operation between personal in the related division
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
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
) Since the 1 July 2002: for all types of debt securities with a service area of Bangkok and surrounding, except the service as specified in (2). (2) Since the 31 March 2003: for debt securities in the
intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a manner of ready retrieval for promptly viewing and
Management Connect Scheme on 29 June 2020, which aims to provide investors in the Greater Bay Area (“GBA”) – consisting of Guangdong, Hong Kong, and Macau – a mutual access to investment products available
use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch