be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
promotion – and clarify the respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
-consuming projects or assignments such as real estate development business, building construction business, ship construction business, etc.). Disclose the values of the ongoing projects as of the most recent
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11