. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
concerning Approval of Auditors in Capital Market , only for providing service under Paragraph 1 of clause 8 (3) or (6) only functions relating to the accounts and finance of clients; (3) the Stock Exchange of
supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal derivatives brokerage ; (9
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
Notification is that it deems appropriate to offer opportunities for gold business operators with proper qualifications and readiness in term of financial and management capability to undertake derivatives
characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper
appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following