significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
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
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
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