responsibilities, of the personnel in charge of operations in the event of major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include
Page 1 of 5 Form 69 – CIS annually update Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact
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Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
internal short
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place
the intermediary shall be informed without delay; (5) internal control for the operation shall be established in accordance with the information technology governance policy, which contains at least the