Head of Compliance
engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Shareholders | - |- Approval & Qualifications (Section 90, 91) |- Audit Committee (Section 89/25) |- Engagement in Related Businesses | - |- OTC & Derivatives Businesses (Section 98(4)) | - |- Engagement in
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Providing Compliance Unit of an Intermediary