company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
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
Exchange Commission, which were effective prior to the effective date of this Notification, shall remain in full force and effect to the extent that they are not inconsistent with nor contrary to the
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
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
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
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
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
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