for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are failure to perform pursuant to the
Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701" http
proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in
advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป
reporting such review to the intermediary ’s board of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are
International Standards on Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the