information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
announced those analysis. (7) 2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
announced those analysis. (7)2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
depreciation) ตลอดอายกุารลงทุน - ก าหนดให้เปิดเผยอตัราผลตอบแทนภายในจากการลงทุน3 (“Internal Rate of Return” หรือ “IRR”) ไวใ้นหนงัสือช้ีชวน (กรณีเสนอขายคร้ังแรก หรือเพิ่มทุน) และในรายงานประจ าปี (กรณีกองท่ีจด