management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
หรือผู้ปฏิบัติงานที่มีหน้าที่ควบคุมดูแล เช่น กรรมการ ผู้จัดการ ผู้จัดการสาขา Head Front/Back/Risk/Compliance Fund Manager เป็นต้น 3. หลักการลงโทษผู้บริหาร ใช้หลักการเดิม โทษของผู้บริหาร สูงกว่า โทษของ
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the
business. Clause 4. A securities company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has
) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s
for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data
that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation
investment by country and instruments / and compliance with the law and the rules and regulations. Information on the supervision of ThaiBMA: Directors, executives of the company, and the contact persons of
to compliance with relevant laws and regulations, listed companies should study institutional investors’ ethical trading guidelines as reference for further developing the quality of their companies