doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

measures when an error is found and preventative measures to prevent the reoccurrence of such error. 3.3 Back Office Supporting System 3.3.1 Establishment of Funds and Preparation of Prospectus Objective A

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody

infrastructure risk. Compliance Guideline · Segregating l the developer from the system administrator that perform in the production environment. · Providing a written job description which identified clearly

such contract (if any). Any asset used as a collateral shall be identified together with the limit of the obligations. In the case where the Company or a subsidiary has intangible assets which are

and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be

supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office