) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1©Copyright รวมลงิกค์ูม่อืการสมคัร Digital ID และการพสิจูน ์ยนืยนัตวัตน • วิธีการใชง้าน Application ทางรฐั ลิงก์ • วิธีการลงทะเบียน
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective communication guideline with the investors and internal management in the
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective communication guideline and internal management in the period
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
) accounting system and internal control system of audit clients prior to accepting an audit engagement, (5) correlation between compensation and audit quality, and (6) root causes analysis and remediation plan