nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
actual situation nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a
operation and shall demonstrate to the Office that such fund supervisor has arranged to have systems ready for the operation of fund supervisor business under Clause 2(4) and shall have the personnel of the
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment of sub-agent
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of