) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
financial products. For the best interest of the fund members, they should also be well-versed in selecting asset management companies, monitoring and assessing performance of asset management companies to
Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives Clearing Houses Clause 2 A derivatives clearing and settlement system is a
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
international standards, policies and best cyber security practices under the supervision of the Bank of Thailand. Along with this, service users have been continually equipped with beneficial knowledge via
flows as above, KBank is closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Enterprise Risk Management Division
certain periods. KBank has a monitoring process and control measures in place to ensure that risk is within an acceptable level. Foreign exchange risk management 16 is under supervision of the Assets and
and risks of organizations that will link their systems to ours. Duties and responsibilities are clearly defined in the contract entered into with those organizations, while risk-monitoring measures
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so