Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
conjunction with Clause 11 and Clause 12 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 32/2559 Re: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and
conjunction with Clause 21 and Clause 22 of the Notification of the Capital Market Supervisory Board No. TorThor. 31/2559 Re: Rules for Operation of Derivatives Clearing Houses dated 3 August 2016, the SEC
) 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
Clause 23 and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors . Chapter 2 Organizational Structure, Operation System, and
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in