generally for the implementation of the provisions of this Act. In order to implement the first paragraph, the Minister may entrust any governmental agency under his supervision to carry out duties on his
เทศ หน่วยงาน วันที่ 1. Austria Financial Market Authority 22 กรกฎาคม 2556 2. Bulgaria Financial Supervision Commission 22 กรกฎาคม 2556 3. Cyprus Cyprus Securities and Exchange Commission 22 กรกฎาคม
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for
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
agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor
feasibility study for branch role model to expand branch under Franchise model in the future. Academy and Training: It is the process to develop human resource unit and medical broad of directors to monitor