gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity

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

or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal

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

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

) gather and allocate asset deemed to be owned by customer in order to return them to the customer; (2) transfer account and asset deemed to be owned by customer to other derivatives business operator; (3

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

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor