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
with? E Staff Pressures – Internal: 1 How does the firm monitor and support staff in dealing with the pressures to meet deadlines/targets/recovery rates? 2 How does career progression work post
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
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
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
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