the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting the results of the test, reviewing and evaluation under (1) and (2) to the board of directors or a board-appointed
relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https
) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
(4) and the review under (5) and report such evaluation to the board of directors of the intermediary or its assigned committee at least once a year. Such evaluation shall be carried out by a person
Securities and Exchange Commission (the “SEC”), in cooperation with the PricewaterhouseCoopers Thailand (“PwC Thailand”), has developed this internal control sufficiency evaluation form (“evaluation form”) as
interests) deem it appropriate to approve the transaction in relation to the assets or service with the connected person as above mention. Due to the reasonable price, reference prices is made by the
or a relationship in any aspect or any other circumstances. “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position equivalent to any of
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the