including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of
, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by
related work to be in accordance with laws, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the
นมีแนวคิดท่ีจะปรับปรุงหลกัเกณฑเ์ก่ียวกบักำรก ำกบัดูแลกำรประกอบธุรกิจ กำรจดัอนัดบัควำมน่ำเช่ือถือ เพื่อใหส้อดคลอ้งกบั IOSCO Code of Conduct Fundamentals for Credit Rating Agencies 2015 (“IOSCO standard
: ............................................................. Province: .................................... Zip code: ........................... E-mail: .............................................................. Telephone
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