derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the elaborate
conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6
for each staff level? If yes, how does the firm communicate them to its personnel? 8 Does the firm include quality of work perspective in its Job description and its evaluation form? 9 What criteria is
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...
analysis (MD&A) and the Company’s financial condition according to the Management’s perspective accompanied by the causes and relevant factors – if preferred, represented by diagrams or graphics as seen