unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
law ; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and
the mutual funds that have invested or held equity instruments issued by PTT Public Company Limited. In order to protect the investors’ interest and legitimate right and ensure that they are treated
’ meeting. Clause 4 Foreign ETF shall undertake the following matters in compliance with law of foreign jurisdiction where home exchange is located: (1) reporting of interest of director, executive and