comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
Notification shall come into force as from 16 December 2004. Notified this 22nd Day of December 2004. Somkid Jatusripitak (Mr. Somkid Jatusripitak) Minister of Finance Chairman of the Securities and Exchange
(Mr. Somkid Jatusripitak) Minister of Finance Chairman of the Securities and Exchange Commission (Translation) Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this
agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor
a Private Visit to facilitate those who need to visit the project. In this regard, the Company will closely monitor the situation of COVID-19 and continuously adjust the operation pattern to keep up