ข้อมูลที่ได้รับกับหลักฐานหรือแหล่งอ้างอิงที่เชื่อถือได้ (client verification) (3) จดบันทึกข้อมูลที่ได้รวบรวมมาและความเห็นภายใต้กระบวนการรู้จักลูกค้าและ การ
should be rigorous, capable of being applied consistently, and, where possible, result in credit ratings that can be subjected to some form of objective validation based on historical experience. 1.2
arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this regard, such system shall serve accurately and thoroughly, including verification
relevant information to the trust manager for the trust manager’s use of such in the examination or verification of the correctness of the income contractually entitled to the trust. Clause 29 If the
สอบความถูกต้องของแบบจ าลองดังกล่าว (full validation) อย่างน้อย ปีละ 1 คร้ัง 20 4. มีมาตรการและวิธีการท่ีมีประสิทธิภาพที่ใช้ในการติดตามและควบคุมมูลค่าคงค้าง ฐานะสัญญาซื้อขายล่วงหน้าของสมาชิกและความเสี่ยง
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the
shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific
without affecting the going concern issue of the REIT; 11 19 (5) being a full appraisal with the verification of entitled rights evidence, for the purpose of public use for disclosure to investors. Such