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

management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords

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

asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from

) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification

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

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

to issue this notification in order to monitor and control the offshore investment volume of the securities companies.

Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor