and data within an application and are, therefore, specific to each application. • To ensure the accuracy, integrity, reliability and confidentiality of the records and the validity of the entries made
independently and without bias, advancing beneficiary or client interests as their primary obligation. 1.3 Capacity and effective management Institutional investors should be led by boards and staff with the
the haircut shall be tested on a regular basis and the validity of the haircut calculation method shall be reviewed at least once a year; (8) determination of methods for identification and reduction of
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
the License return in the amount of Baht 890.83 million as follows: (1) License fee which the licensee had paid until the fourth installment out of six installments. A period of License validity which
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
be specifying the method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h
having conflicts of interest Type of Conflict of Interest a) Mr. Hsu, Shen-Hsiung Chairman of XYZ-Suzhou b) Mr. Yu, Shih-Tung Director of XYZ-Suzhou 8. Comments of directors on the validity of the
member country to undertake, including but not limited to, the regulated activity specified in this Handbook. • Comply with the fit and proper criteria. ELIGIBLE PROFESSIONAL VALIDITY PERIOD 2 years