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custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
to operate as a custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
adequacy of the company’s corporate governance and control should be examined.”Mr. Suphot Singhasaneh, Secretary-General, Federation of Accounting Professions under the Royal Patronage of His Majesty the