Regulations SHARE : Detail Content Personnels Investment Consultant Fund Manager /Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
Governance Network (2014) 7 Section A: Board 1.0 Responsibilities 8 2.0 Leadership and independence 9 3.0 Composition and appointment 11 4.0 Corporate culture 12 5.0 Risk oversight 13 6.0 Remuneration 14 7.0
. The risk management policies should support identification and prioritisation of early warning signals of material risks. The risk management policies should be reviewed regularly, such as annually
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
fintech supervision and oversight. This framework was similar to those CSSF agreed with capital-markets watchdogs of Australia, Dubai and the United of Arab Emirates. This new agreement has expanded the