are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management
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
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
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
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
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and
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