control unit which meet acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
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
was at 4.6 times increased from 3.6 times at the end of 2019 while the Company considers it is within the appropriate range to appreciate leverage and maintaining acceptable credit rating. Return on
suits their investment objectives and investment risks are acceptable; (2) necessary warnings, considering the nature of the mutual fund that may significantly affect investment decisions, such as, if the
[the transaction] relating to Islamic finance and banking; (c) being a lecturer in either one of the areas under sub clause (1) of a well-known and acceptable institution; (3) having proficiency in
. The organization selects and develops control activities that contribute to the mitigation of risks to the achievement of the objectives to the acceptable levels. Questions Yes No 10.1 The company’s
control and stored on the Cloud provided by the Cloud Provider, whose standards are acceptable and the service is reviewed on a regular basis. Hard copies of documents and printed materials are stored based