=title_th_default&fq=key_filetype%3Axlsx&start=0&rows=10 1 - 6 of 6 results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-04.xlsx establishing a specific time period to make that evaluation? If yes, do the
) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
suitable for specific goals, promoting market access for SMEs fundraising, educating the public on digital assets and self-protection against investment scams. 2) Organizing a provincial seminar on 4
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order