Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
in place for how the organization will deal with the impacts of exception events (e.g. droughts, floods, severe pollution events, extreme storms, winds etc.) The issuer has monitoring and reporting
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
between other operations and digital asset business with an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor
Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018. Clause 2 With the exception of the provisions
, with the exception of {C} in which the suspension shall be effective from 22 April 2019. During this period, these persons are prohibited from performing duties relating to the management or acting
fund management company and shall not be liable to compensate any damages to the private fund management company arising from such termination, with the exception of the case that the agreement is made
fund management company and shall not be liable to compensate any damages to the private fund management company arising from such termination, with the exception of the case that the agreement is made
.......................................................... 51 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 9 About the Principles The Principles are intended to help policy makers evaluate and improve the legal, regulatory, and institutional
the assessment process to evaluate the qualifications of the applicants seeking licenses to operate digital asset businesses. If an applicant is qualified, SEC will propose Minister of Finance to