person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
examination revealed that on 12 July 2023 (one business day), the aforementioned JMT selling orders originated from BBLAM’s trading account, executed through Citicorp Securities (Thailand) Limited. At the time
the officer using for examining the correct and completion and providing an inspection of such log book consistently. [A] 1.2 Examination · Providing a test once a year for assure that information and
the officer using for examining the correct and completion and providing an inspection of such log book consistently. [A] 1.2 Examination o Providing a test once a year for assure that information and
members and involved persons to test and review such default procedures and process at least once a year; (4) in cases where clearing is done through a commercial bank, determine criteria for choosing a
Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the