Internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical

shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the

systems and user identification of internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the

assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3