Notification is intended to prescribe the standard for the management of retail funds, accredited investor funds, mutual funds for institutional investors, and private funds to ensure that the management
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the aforementioned. Clause 6
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its personnel; · require principals and staff to be alert
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
updating its technological systems to ensure that it can cope with possibility of a significant surge in transaction volume. Nonetheless, commercial banks are likely to be exposed to technological failure
Covered Management Company of the Thai Covered Fund shall ensure investors in both Thailand and Hong Kong receive fair treatment, including in respect of investor protection, exercise of rights