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
suitable for different situations. (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
company shall arrange to have the mutual fund supervisor inspect and certify in writing that such investment is an at arm’s length transaction under Clause 13(2).” Clause 5. The provision in (b) of (3) of