investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
staff sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the
, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries
give investors an overview of the Company’s preventive measures against exploitation of inside information by directors and executives. 11.6 Auditor remunerations Specify the remunerations for the
is or was [i] an unfair act or exploitation of investors in trading capital market products or [ii] a collusion or supporting such demeanors of other persons; (3) having a reasonable ground to believe
reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii] exploitation of investors
เพื่อทราบถึงช่องโหว่ของระบบ (vulnerability scanning) และการใช้ประโยชน์จากช่องโหว่ (exploitation test) ทั้งนี้ ผู้ประกอบธุรกิจต้องจัดให้มีมาตรการควบคุมเพื่อให้กระบวนการทดสอบส่งผลกระทบต่อการปฏิบัติงาน น้อย
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
ขายสัญญาซื้อขายล่วงหน้าที่ไม่เหมาะสม (trading abuse) 8.1 เนื้อหาของกฎเกณฑ์ที่ให้อำนาจของศูนย์ซื้อขายสัญญาในการดำเนินการเกี่ยวกับการซื้อขายสัญญาซื้อขาย ล่วงหน้าทั้งที่สมาชิกกระทำเพื่อตนเองและเพื่อลูกค้า