make decision in securities dealing for the securities company. Clause 7. A securities company shall separate front office units and personnel from its back office, and must provide a system of check and
unit and personnel responsible for securities dealing (front office) from work unit and personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
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
position. Handbook or operating guideline for staff must be prepared and up-to-date. 3. The personnel must perform their duties in accordance with the law and relevant rules and regulations including code of
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties