to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents

business continuity management and plans;   - have a customer onboarding and Know Your Customer system (KYC) that are appropriate to evaluate product risks against characteristics of each customer

management companies which offer mutual funds, private funds, and provident funds (private pensions), and manage 87 billion USD in assets, mostly in mutual funds. The combined value of the government pension

In order to manage raw material sourcing for the company and the subsidiaries, including proper cost of wood raw material, Particle Planner Company Limited (subsidiary) should then make an investment

practice standards for securities companiesû compliance officers ● Drafted directorûs handbook for securities companies ● Drafted directorûs handbook for listed companies ● Supported the project to evaluate

related operational risk, and evaluate risks both internal and external that could affect the operation and the SEC’s strategic plan. Subsequently, control activities and working procedures are set up to

subsidiaries of Morningstar, Inc. The Morningstar name and logo are registered marks of Morningstar. If an advisor is paid solely to manage a portfolio of assets, and does nothing else, i.e., offers no

(d) Notification requirements for any unresolved concerns and the completion of the EQR. If yes, please respond to the following questions. - How does the EQr evaluate significant judgement and

to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the

receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the