of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and units to perform their duties under (a); (c

เช่น collar ได้ โดยผู้ค้าฯ มีหน้าที่ในการพิจารณาความเหมาะสมของลูกค้า (client suitability analysis) และต้องมีการแยกองค์ประกอบของธุรกรรม (de-compose) ให้ลูกค้าทราบอย่างชัดเจน · คณะอนุกรรมการพิจารณาร่าง

Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 29/2549 Re: Acts That May Create Conflicts of Interest on Fund Management and Preventive Rules dated 19 July 2006; (2

systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged

able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For

and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1