implements a formal approach to identify relevant metrics, and collect, verify, manage and use impact data, including: 2.1.6.1 managing data ownership on behalf of Stakeholders – including privacy, ethical and
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
by a management company 1.1 There should be a procedure for account opening and entering into a contract with a client. Such procedure should have adequate process to identify and verify client’s true
verify that this is the case, we calculate the standard deviations of our key variables both across firms and over time and find that the cross- sectional variations between firms are at least 50% higher
verify the appropriateness and evaluate both the ethical risks and the ability to perform work of the staff. Nonetheless, the SEC encourages the firm to set out the policies that limit its staffs’ capacity
confidential and/or material non-public information. The policies, procedures, and controls should include measures designed to verify that employees undergo required training. 5. DISCLOSURE AND COMMUNICATION
principal asset and accessories (if any) shall contain at least the following matters: (1) prior to acquisition of the principal asset each time, a REIT manager has to proceed as follows: 11 (a) verify or
to register a transfer of bonds or corporate bonds, the approved Thai government agencies shall verify the proposed transfer of bonds or corporate bonds. If the approved Thai government agencies find
Microsoft Word - ชซ. 62-2561 ฆาร๕สฎà¸à¸‡à¸²à¸¢à¸«à¸¸à¹›à¸Žà¸†à¸¹à¹›à¸ªà¸†à¸¸à¸¥à¹•à¸⁄à¸´à¸Žà¸Łà¸£à¸²à¸Łà¹‹à¸²à¸⁄à¸łà¸£à¸°à¹•à¸Šà¸¨à¹…à¸Žà¸łà¸£à¸°à¹•à¸Šà¸¨à¹—à¸Šà¸¢_111261 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 62/2561 Re: Offer for Sale of Bonds Denominated in Foreign Currency in the Kingdom of Th...
verify the proposed transfer of the debt securities. If the approved foreign entity finds that the proposed transfer is contrary to the transfer restriction registered with 24 the SEC Office, the approved