by the Office to ensure compliance with the law; (4) Pre-conditions or post-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8
งาน (ข) แผนการปฏิบติังานหรือคู่มือการปฏิบติังาน (compliance manual) ซ่ึง อยา่งนอ้ยตอ้งประกอบดว้ยขั้นตอนและหนา้ท่ีการปฏิบติังาน (ค) วิธีการตรวจสอบการซ้ือขายหลกัทรัพยข์องบริษทัท่ีปรึกษาการลงทุน (ง
and the person to be responsible for damage of clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the
clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the appointment of an agent to undertake custody of clients