operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance

later to the Office that derivatives broker violates or fails to perform in compliance with this notification or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the

ลงทุนของบริษัทจัดการกับกองทุนภายใต้การจัดการของบริษัทจัดการอย่างมีประสิทธิภาพ 4. มีการกำหนดหลักปฏิบัติในการรายงานการลงทุนให้ผู้บริหารของบริษัททราบ 5. มีการกำหนดให้มีการรายงานให้ compliance officer ทราบ

for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post

the branch office for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre

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