the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
management under paragraph one hereof, or in the back office operation, the management company shall carefully consider selecting such persons suitable for the tasks to be designated, and shall also ensure
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
Prevention system · Providing a prevention a computer system form damage of inconsistent electricity. [M] · Providing a preserved electricity system for the important computer system for the purpose of
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
. ในกรณีที่บริษัทหลักทรัพย์ออกตราสารทางการเงินสกุลบาท (structured note) อ้างอิงตัวแปรต่างประเทศขายแก่บุคคลทั่วไป หากบริษัทหลักทรัพย์ต้องการบริหารความเสี่ยงโดย back-to-back กับต่างประเทศโดยการซื้อหลัก
the committee [according to Clause 37] for considering facts and evidence and proposing opinions on such matter [back to the SEC Office]. In this regard, if the committee wishes for the person under
) deliver facts and elucidation (if any) of the person under consideration to the committee [according to Clause 37] for considering facts and evidence and proposing opinions on such matter [back to the SEC