shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable

supporting trading volumes adequately and checking the clearing and settlement ability of the service user before sending trading orders; (b) having a clearing and settlement system provided by a clearing

cover at least the following matters: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver

once a year to ensure the correctness of assets in custody. 4. Document keeping system for checking evidences of money or assets transferring of the fund for at least one year. Chapter 3 System to

period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of

information e.g. prescription of the area for concerned personal 1.1.3 Supervision of the Line of Operation (1) Having a system for cross checking of the operation between personal in the related division

offer adequate time to the client for considering and making a decision for investment. While checking accuracy of information affecting the decision of the client , the intermediar y shall control and

for investment. While checking accuracy of information affecting the decision of the client , the intermediar y shall control and prevent not to circulate the information which have not been yet

) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity

controlling the inflow and outflow of mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the