or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the

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

need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or

เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee

the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this

derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have

) Since the 1 July 2002: for all types of debt securities with a service area of Bangkok and surrounding, except the service as specified in (2). (2) Since the 31 March 2003: for debt securities in the

Management Connect Scheme on 29 June 2020, which aims to provide investors in the Greater Bay Area (“GBA”) – consisting of Guangdong, Hong Kong, and Macau – a mutual access to investment products available