handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the
with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3