any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in
customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of derivatives broker from
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
investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession
review is adequate, and the audit has quality. If the engagement teams fail to obtain sufficient appropriate audit evidence, the partners and the managers should be able to identify the issues before
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of