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
) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s
for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data
that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation
investment by country and instruments / and compliance with the law and the rules and regulations. Information on the supervision of ThaiBMA: Directors, executives of the company, and the contact persons of