compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
[the transaction] relating to Islamic finance and banking; (c) being a lecturer in either one of the areas under sub clause (1) of a well-known and acceptable institution; (3) having proficiency in
. The organization selects and develops control activities that contribute to the mitigation of risks to the achievement of the objectives to the acceptable levels. Questions Yes No 10.1 The company’s
control and stored on the Cloud provided by the Cloud Provider, whose standards are acceptable and the service is reviewed on a regular basis. Hard copies of documents and printed materials are stored based
standards are acceptable and the service is reviewed on a regular basis. Hard copies of documents and printed materials are stored based on their use: Documents that are currently in use will be stored in a
account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is
and sufficiency as stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of