sub clause (2); (4) determining for regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is
appropriate and in accordace with a current situation, companies shall review the BCP, both at unit level and organisation level, according to reciept of the evaluation results and when there is any significant
companies. 8.4 In order to adjust the BCP to be appropriate and in accordace with a current situation, companies shall review the BCP, both at unit level and organisation level, according to reciept of the
ไปหรือต่อผูล้งทุนรายใหญ่ ผูข้ออนุญาตตอ้งจดัให้มีผูป้ระเมินภายนอกทีเ่ป็นอิสระ (external review provider) ซ่ึงมีคุณสมบตั ิ ตามขอ้ 13 เพื่อท าหนา้ที่ดงัน้ี 6 (ก) ให้ความเห็นหรือรับรองเก่ียวกบัการก าหนดต
procedure for dividend payment including review of the number of unitholders which the company received from the registrar and the comparison of the resolution on dividend payment to the transfer order issued
reconciliation and balance for the protection of unitholder’s interest. Page 11 of 32 (Unofficial Translation) Guidelines 1. There should be a procedure for dividend payment including review of the number of
___________________ Clause 10. In renewal for approval for investor contact, the applicant shall: (1) having attended a training, activities, or additional courses to review the relevant business knowledge and
Approval ___________________ Clause 10. In renewal for approval for investor contact, the applicant shall: (1) having attended a training, activities, or additional courses to review the relevant business
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the