systems to oversee that they are appropriate, adequate and efficient. 2 - Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and
Notification of the Board of Governors of the Stock Exchange of Thailand regarding Disclosure and Compliance by Listed Companies relating to Acquisition or Disposal of Assets B.E. 2547 dated 29 October 2004. The
In the case where an intermediary enters into a transaction for a client with the intermediary itself or a connected person, in addition to compliance with the provisions under Clause 22 (1) and (2) of
ผู้ดูแลระบบเทคโนโลยีสารสนเทศที่สามารถเข้าถึงข้อมูลภายในที่ไม่ได้เปิดเผยเป็นการทั่วไป เจ้าหน้าที่ในหน่วยงาน compliance ผู้ตรวจสอบภายใน ผู้สอบบัญชี ที่ปรึกษา เป็นต้น โดย access person ดังกล่าว อาจอยู่ใน
including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the unit responsible for custody of private fund assets
): □ (1) Organization structure of the applicant including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
audit, compliance or other services which are similar to above. 1 As added by the SEC Office Notification No. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives