Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
- organization chart - รายชื่อและตำแหน่งผู้บริหารสอดคล้องกับ organization chart หรือไม่ - กรณีเป็น holding company ได้ระบุข้อมูลผู้บริหารของ บริษัทย่อยที่ประกอบธุรกิจหลัก - รายชื่อและตำแหน่งของผู้บริหาร
- organization chart - รายชื่อและตำแหน่งผู้บริหารสอดคล้องกับ organization chart หรือไม่ - กรณีเป็น holding company ได้ระบุข้อมูลผู้บริหารของ บริษัทย่อยที่ประกอบธุรกิจหลัก - รายชื่อและตำแหน่งของผู้บริหาร
continuity and Market Intermediary Business Continuity and Recovery Planning document http://www.iosco.org/ List of contact persons, including employee list, telephone number and contact chart, whereby each
attachments herein. 8.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding company, specify also the names and positions of
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
of the directors of the subsidiaries in Attachment 2. 10.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding