comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
หรือผู้ปฏิบัติงานที่มีหน้าที่ควบคุมดูแล เช่น กรรมการ ผู้จัดการ ผู้จัดการสาขา Head Front/Back/Risk/Compliance Fund Manager เป็นต้น 3. หลักการลงโทษผู้บริหาร ใช้หลักการเดิม โทษของผู้บริหาร สูงกว่า โทษของ
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the
business. Clause 4. A securities company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has