the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
, shareholders should be allowed to communicate with each other without having to comply with the formalities of proxy solicitation. It must be recognised, however, that co-operation among investors could also be
management companies advise the employers and the Provident Fund Committees to render assistance and clearly communicate with the PVD member employees about the reasons and the necessity for postponement or
a LuxSE listing guidelines and communicate to debt issuers, and cooperate with LuxSE in providing in-depth knowledge and answering further questions. LGX is the world’s first green exchange which
leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d
Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2
opened 1 large branch which is Phetkasem branch using automated storage and retrieval system (ASRS) for more efficient in warehouse management and the company opened 5 Dohome To Go branches which are Makro
. (4) establishing an efficient system for recording, collecting and processing data and a data backup system as an alternative in cases where retrieval for use of such data cannot be done; (5