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
public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
) 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; (3) there shall be
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated regulations. Clause 5 An approved person
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 client’s assets; □ (3.6) System to
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