are requested to supervise and inspect all transactions that NUSA is currently conducting and will conduct in the future to ensure that they are accurate, appropriate and are of best interest for the
) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective
Thailand: - (a) registration and renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with
inspect the operation of the public sector and the business sector regarding proper and appropriate protection of personal data.” _____________________________
operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the
method or compliance guideline for inspect the security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] o
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession