likelihood and the possible effects. 7.5 The company has measures and operational plans to handle risk by either accepting, reducing, avoiding or sharing risks. 8. The organization considers the potential for
entrust a reliable person to handle the document keeping task on his or her behalf, but the legal liabilities remain with the company secretary. Q: Is it permissible for the chairperson to authorize a
=https%3A%2F%2Fdownload.dws.com%2Fdownload%3Felib-assetguid%3D2c2023f453ef4284be4430003b0fbeee&usg=AOvVaw1_AfzEthPZgq0bZtV_ZYz0 https://dash.harvard.edu/bitstream/handle/1/14369106/15-073.pdf 2 เพ่ิมข้ึนข
entrust a reliable person to handle the document keeping task on his or her behalf, but the legal liabilities remain with the company secretary. Q: Is it permissible for the chairperson to authorize a
contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the
the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted principles and have reliable
broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted
broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted