service provider for protecting the information of the intermediary and the clients; (7) measures for supervising a service provider to comply with the regulations relevant to outsourced function as
is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. The law on financial institution business
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
the requirements of the official agency which is the regulator directly supervising the business operation of the issuer of instruments, or the requirements of the Ministry of Commence, as the case may
the Office for supervising and reducing a burden of the company, it was approved that the company should keep a functional record of server and network computer system, application log record and record
front office for 5 days. Ayudhaya Securities Company Limited, For a purpose of the Office for supervising and reducing a burden of the company, it was approved that the company should keep a functional
any of the following characteristics: (a) being subject to restrictions or suspension of business operations ordered by the government or regulatory authority supervising the business operation of such
with applicable law and standards, and expecting and supervising business partners to respect human rights, social and environmental responsibilities, and treat their employees, staff, and workers fairly
connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as