. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
to monitor the situation closely in order to conduct the appropriate measures. For more details, please see section “COVID-19: Impacts and Response Plan” 1Q 2020 PERFORMANCE 1Q 2020 P&L SNAPSHOT AND
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
เห็นชอบจากสำนักงาน ประเทศอาเซียนที่สำนักงานยอมรับ หมายถึง ประเทศที่มีการลงนามในโครงการตามความร่วมมือภายในกลุ่มประเทศอาเซียน (MEMORANDUM OF UNDERSTANDING ON THE ACMF PASS UNDER ASEAN CAPITAL MARKET
. This will permit market participants to draw their own conclusions about whether the CRA has implemented the IOSCO CRA Code to their satisfaction, and to react accordingly. In developing their own codes
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
computer centre officer monitor the compliance all the time. [M] o Providing record system for entering the computer centre and such record shall compose of personal detail, time of entering and there should
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association