) 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
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
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
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
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients