Microsoft Word - คำอธิบาย บล 5 คำอธิบายประกอบการจัดทำรายงาน Activities Report คำอธิบาย ขอ 1 รายละเอียดลูกค้า (1) รายละเอียดการให้กู้ยืมเงินเพื่อซื้อหลักทรัพย์ ใหรายงานรายละเอียดยอดรวมเกี่ยวกับการทำ
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
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
structure, operational systems or other events which significantly affect the operations, intermediaries shall take the actions required under (1) without delay. Clause 9 In the event that a major operational
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
take the computer out of the company such as deliver to repair or destroy the information which stored in media recorder the etc.. [A] 2. Controlling the users privilege · Determining the privilege for
the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His
in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “related person” means a
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian