management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1
office continues, the Office shall have the power to instruct the securities company to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to
shall have the power to instruct the derivatives broker to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to revoke the approval of such
the association with the approval of the SEC Office. If it is necessary and expedient, the SEC Office shall have the power to instruct a management company to act additionally or differently from the
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with
instruct such person to take corrective action, or act or omit from any act to comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to the
market products based on an automated program that runs product selection and trading placement without interference throughout the transaction process. “ intermediary ” means: (1) securities business
automated หรือการควบคุมแบบป้องกันและติดตาม 10.4 บริษัทกำหนดให้มีการควบคุมภายในในทุกระดับขององค์กร เช่น ทั้งระดับ กลุ่มบริษัท หน่วยธุรกิจ สายงาน ฝ่ายงาน แผนก หรือกระบวนการ 10.5 บริษัทมีการแบ่งแยกหน้าที่ความรับ