-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in
mechanism controlling the trading of capital market products that ensures the trading is in accordance with the selected portfolio advisory or investment strategy of program trading as well as monitoring and
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
objective, purpose, or strategy of operation or procurement of benefit of REIT for investor’s understanding and use it as guideline for monitoring REIT business operation direction in the future; 2.2
fundamental system which has connection to the derivatives trading system and other relevant systems. Meanwhile, an information technology system is necessary for derivatives clearing houses to achieve their
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
investors to form partnerships.(2) A platform that supports fund mobilization by SMEs and startups: Initially, this platform will be used to provide information, communications, and news, where interested
วัตถุประสงค์ของการปฏิบัติ ให้เป็นไปตามประกาศแนวปฏิบัติฯ ในหัวข้อ 8.4 เร่ือง logging and monitoring ซึ่งก าหนดให้ ผู้ประกอบธุรกิจจัดเก็บ internet access log โดยมี รายละเอียดขั้นต่ าคือ บัญชีผู้ใช้งาน / หมายเลข