Confirmation of Clients _______________________ Clause 25 After a client has made a decision for investment or entering into a transaction, an intermediary shall report or inform the result of the performance to
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
เวลาที่ทำรายการเสร็จสิ้น (2) หลักฐานยืนยันการซื้อขายสัญญาซื้อขายล่วงหน้าของลูกค้า (confirmation statement) (3) หลักฐานยืนยันการเรียกหลักประกันเพิ่มเติม ในกรณีที่ตัวแทนซื้อขายสัญญาเรียกให้ลูกค้านำ
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related