acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for asset inventory demonstrating
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
) System for verification and reconciliation of private fund assets to ensure accuracy and completeness; (Translation) -4- (d) System for asset inventory demonstrating details and amount of private fund
identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
fourth quarter of this year may see limited growth. Meanwhile, the Monetary Policy Committee (MPC) may need to closely monitor developments in the Thai economy in order to gauge the suitability of adopting
increasing 48.52 million or 26.06%, cause by the Company had administrative expense increase of Baht 11.40 million which is mostly caused by the company closely monitor collection and accelerated disposal of
in the first quarter of 2017, the Group compensated a voluntary resignation plan to the employee. In addition, the Group has a policy to maintain of expenses monitor. Impairment losses on assets
monitor regulatory criteria regarding the implementation of IFRS 9 Financial Instruments. The Project, as an operating team, provided opinions to ensure that the new regulation is appropriate for business