aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
the Company or the group of companies, as specified by the Board of Directors (if any), to be used as guidelines for investors to understand and monitor future business directions of the Company. 1.2
are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้
. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended
group of companies, as specified by the Board of Directors (if any), to be used as guidelines for investors to understand and monitor business directions of the Company. The business goals aforementioned