ลงทุนของบริษัทจัดการกับกองทุนภายใต้การจัดการของบริษัทจัดการอย่างมีประสิทธิภาพ 4. มีการกำหนดหลักปฏิบัติในการรายงานการลงทุนให้ผู้บริหารของบริษัททราบ 5. มีการกำหนดให้มีการรายงานให้ compliance officer ทราบ
for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post
the branch office for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre
by the Office to ensure compliance with the law; (4) Pre-conditions or post-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of
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
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8