system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
required; Analyzing and assessing financial positions and the operational results of the business activities, as well as impacts on the shareholders, to come up with recommendations for the shareholders to
.pdf Notification of Capital Market Supervisory Board TorThor. 12/2555 Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2) http://capital.sec.or.th/webapp/nrs
the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and https://publish.sec.or.th/nrs/4197pe.doc < 1 ... >> > < 1 ... >> > Previous
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
อยู่ในแผนดำเนินการ (operational plan) เพื่อให้มั่นใจได้ว่า ทุกฝ่ายขององค์กรได้ดำเนินการสอดคล้องกับวัตถุประสงค์ เป้าหมายหลัก และแผนกลยุทธ์ (strategies) ของกิจการ หลักปฏิบัติ 5.3 คณะกรรมการควรติดตามดูแล
independent director) Main duties of a Trust Settlor/Trust Manager Apply for approval of an offer for sale of units with the SEC Formulate strategies and operational plans of the trust Invest and seek