is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy disclosed in the mutual fund schemes and
firm. ** An audit firm that has passed an inspection of the SEC has an audit quality control system in line with professional standards and sufficient personnel
credible, (2) the operation is independent, (3) they apply the principle of good governance in their risk management and personnel management, (4) they disclose correct and sufficient information, as well
Data Protection Act B.E. 2562 (2019). Preparing the readiness of personnel in capital market at all levels of the organization is, therefore, the fundamental task for business operators under
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
personnel to support its expansion such as Cardiac Medicine department and Opthalmology department. Selling Expenses For the 6-month periods of 2015 and 2016 , the Company and its subsidiary incurred selling
securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to
securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2
/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall