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
second paragraph of Section 25 and the notification of the Capital Market Supervisory Board concerning prohibited characteristics of major shareholders of derivatives business operator, and in the case
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
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
Section 14 and the second paragraph of Section 113 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause
/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
notification of the SEC. SECTION 17. The derivatives business operator dealing only with institutional investors [and is eligible to register with the SEC Office] under the second paragraph of Section 16 must be