การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
significant working system and internal audit follow-up report together with schedule of authority (if any); (17) a copy of report or opinion of the expert (if any); (18) a checklist form of due diligence
supply significant portion of our internal electricity use decreasing further operational expenses. 2. Outlook Economic growth accelerated in the third quarter from the near five-year low in the second
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
must not appears that the derivatives broker being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system