lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
(Internal Audit and Compliance Functions) 6. มาตรการป้องกันความขัดแย้งทางผลประโยชน์ (Conflict of Interest) 7. การสนับสนุนด้านเทคโนโลยีสารสนเทศ (Information Technology Support)
(a) made with sufficient information to support the forecast; (b) provide information concerning the possible risks on each condition of the forecast; (c) the information in (a) and (b) is presented
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
derivatives trading of the client. Clause 21 The derivatives broker shall provide sufficient information or documentation in support of the consideration of the application for opening an account in order to
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
in general or may lead to an unfair treatment of the investors in general, or the investors may not obtain correct or sufficient information to support their investment decision-making. Clause 26 The
. prepare compulsory annual fillings, etc. 7) Information and technology (IT) support 8) Recruitment and human resource management 9) Provide legal services, e.g. prepare the Power of Attorney (POA