the firm: Firm's Reference /Guidance Notes Description 1 How does the firm establish the internal communication process to enable personnel and engagement teams to understand and carry out the SOQM
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has the policy for distribution of return payment, the return payment must be straight forward and easy to understand
foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has the policy for distribution of return payment, the return payment must be straight forward and easy to understand
to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s