company. All types of risks which may occur during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
arbitration process; (2) To adjust the time period for preparation of arbitration request and evidentiary documentation before the arbitration process begins; and(3) To revise the termination period for
business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the
approval Termination of approval for the establishment of mutual fund SHARE : For More Information ContactUs Investment Management Policy Department Tel. +66 2263 6562 Was this page helpful? Yes No Comment
relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The personnel should have knowledge and understanding of the responsible work e.g. the compliance officer should have
educational background and related work experience. Such personnel should not have record in violation of the relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The
details of asset appraisal Attachment 5: Unabridged https://publish.sec.or.th/nrs/8617pe.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ Attachment 3 Details of the head of internal control and compliance