etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy
compliance with applicable law and standards. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective
ทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการก ากับตลาดทุน ปรับปรุงให้ เป็นไปตามที่ ระบุในคู่มือ ประชาชน ผู้ประกอบธุรกิจ ที่ outsource งานให้กับ ผู้ให้บริการ ไม่ต้องมีภาระ ในการ supervise ผู้ให้บริการ
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross- border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this