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

on the effectiveness of clients’ KYC/CDD measures and controls in case of omnibus accounts, or closely monitoring of clients’ transactions. Clause 16. Notwithstanding the provisions in Clause 15

categories so that licensed operators are able to offer a fully integrated services in respect of derivatives business similar to the case of issuance of license for securities business which is closely

respect of derivatives business similar to the case of issuance of license for securities business which is closely related with derivatives business. Amended by the Notification of the Securities and

, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking

for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising