right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the intermediary should
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
in practice and for the Office to inspect such practical operation. Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of April 2004. -Signature- (Mr. Somkid
make clarification in practice and for the Office to inspect such practical operation. (Translation) 5 Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of
different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of
. (Unofficial Translation) Page 3 of 4 (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws