persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
derivatives dealer , the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in
balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the