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
undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
of an applicant within the period of 3 years preceding the year of application filing until the date of application filing. Provided that, after submitting the application, if it appears that the
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and
under this Notification shall be exempted from being regarded as the operation of derivatives exchange or derivatives clearing house for which a license is required during the period of such regulatory
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
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission