otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
of management, work systems, particularly efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once
will assess qualifications of these businesses mentioned above before forwarding their applications to Minister of Finance to issue operating license. SEC Secretary-General Rapee Sucharitkul said
. Complete reviews assess alignment of a given issuance or framework with all core components of the relevant Principles. Partial reviews assess alignment of only certain limited aspects of a given an issuance
, requiring a multidimensional perspective to assess the short-, medium-, and long-term implications for a company. LEVERAGING CDP TO IMPROVE TCFD ALIGNMENT TCFD Recommendations CDP Questions CDP Guidance CDP
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be
Management Companies. Representatives in Hong Kong 10. Each Thai Covered Fund must appoint a firm in Hong Kong as its representative in compliance with Chapter 9 and 11.1(b) of the Code on Unit Trusts and
) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3