securities company and a retail client under Paragraph 1 shall bear no statement denying the securities company’s responsibility to the client for any act or omission of any act, whether willfully or
securities company and a retail client under Paragraph 1 shall bear no statement denying the securities company’s responsibility to the client for any act or omission of any act, whether willfully or
broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the derivatives broker or its employees or any person who works for the derivatives broker
has made with the client shall contain no statement which enables the derivatives broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the
has made with the client shall contain no statement which enables the derivatives broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the
arising from any omission from it. Financial Reporting Council Contents Page Stewardship and the Code 1 Application of the Code 2-3 2-3 Comply or Explain 4 The Principles of the Code 5 The UK Stewardship
the Audit Committee and audited by the certified public accountant. Agenda 4 To consider approving the omission of allocation of net profit as legal reserve and the omission of dividend payment from the
.: _________________________ Page 6 of 8 Form 35 – ARFP CIS Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund supervisor) Same as Custody No [if “No”, please provide further information below] 25) Name of
oversight ได้อย่างมีประสิทธิภาพ และยังช่วยให้เกิดความโปร่งใสตอ่สาธารณชนในการ ตรวจสอบการท างานด้านการก ากับดูแลของส านักงาน และ ตลท. ได้อย่างมีหลักการมากขึ้น ทั้งนี้ จะเปน็การ สอดคล้องกับการที่กฎหมายก าหนดให้
oversight 2) Management’s role 1) Risks and opportunities 2) Impact on organization 3) Resilience of strategy 1) Risk identification and assessment processes 2) Risk management processes 3) Integration to