management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords

gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this

regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk

lending agreement for a short selling through a margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements

aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7

for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising