from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
any disgraceful record, and must 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
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
for Thai-listed companies. However, it is inconsistent with the UK evidence provided by Lennox, et al. (2018) and Gutierrez, et al. (2018), and New Zealand evidence provided by Almulla and Bradbury
company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm to the customer’s information or customer’s
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
and effect to the extent that they are not inconsistent with nor contrary to the provisions of this Notification until the Notifications, orders and circular letters issued under or providing guidelines
agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor
agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor