) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity
controlling the inflow and outflow of mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the
mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the details and the amount of mutual
. In this regard, the SEC will provide directly to the SFC a certificate confirming that the Thai Covered Fund has met the Eligibility Requirements under ( 1) and (2) as a supporting document for the
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in
laundering authorities or the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information
; 2. system for auditing and verifying foreign securities deposited with foreign custodians against the entries in the account prepared by the applicant; 3. system for administering, dealing, and