and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry

offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued

marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution

or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring

, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment

system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป

shall be in custody of a third party, the intermediary shall provide efficient system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the

enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3