the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
information for all. 3. Risk factors Identify significant risk factors including the following types: - Operational risk associated with the Company or the group of companies. Identify and clarify what the
. Such report shall contain at least the following particulars: (1) Incorrect unit value; (2) Correct unit value; (3) Causes of the incorrect unit value; and (4) Preventive measures against the incorrect
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating
particulars: (1) Incorrect unit price; (2) Correct unit price; (3) Causes of incorrect unit price; and (4) Preventive measures against incorrect unit price, except where the incorrect unit price is caused by
that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of
demonstrate items of investment in net value after adding or deducting with the value adjustment reserve accounts and the reserve for depreciation of investment fund. 5. Investments in subsidiary and associated
) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 29/2549 Re: Acts That May Create Conflicts of Interest on Fund Management and Preventive Rules dated 19 July 2006; (2