with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
คำสั่งซื้อขาย 2) การซื้อขายไม่เกินฐานะสัญญาฯ สูงสุดที่ลูกค้ารายใดรายหนึ่งอาจมีได้ (position limit) ที่บริษัทกำหนด ทั้งนี้ จะต้องไม่เกิน speculative position Limit ที่ TFEX กำหนด 3) ไม่มีการยินยอมให้
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
หน้าซื้อขายหลักทรัพย์และการค้าหลักทรัพย์ (“บริษัทหลักทรัพย์ฯ”) ซื้อขายสัญญาซื้อขายล่วงหน้า ที่มิใช่เป็นการป้องกันความเสี่ยงจากการเปลี่ยนแปลงของราคา เช่น การเก็งกำไร (speculative) หรือ การทำกำไร
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous