of such action. 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
(7) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information
) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information systems by
ประกัน การคำนวณ Excess Equity การบังคับขาย เป็นต้น (2) ต้องไม่ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) สำหรับการปฏิบัติหน้าที่ของผู้บริหาร ผู้จัดการกองทุน และกรรมการในคณะกรรมการลงทุนของกองทุน
Settlement Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken
Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include