_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
that Promote Sustainable Value Creation) หลักปฏบิตั ิ3 เสริมสร้างคณะกรรมการที่มีประสิทธิผล (Strengthen Board Effectiveness) หลักปฏบิตั ิ4 สรรหาและพัฒนาผู้บริหารระดับสูงและการบริหารบุคลากร (Ensure
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
identity in order to ensure that the client is the person appears on the documents referred to during the account opening process. In this regard, the procedure should be in accordance with the guidelines of
Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with
compensation (such as employee stock ownership plan participation), (2) ensure that the individual total compensation takes into account industry standards and company performance, and (3) predetermined and
an appropriate person as the chairman and ensure that the board composition serves the best interest of the company, enabling the board to make its decisions as a result of exercising independent
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the