personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
Thai AMC is required to perform on-going monitoring and oversee that the mutual fund maintains the qualifications of an MRF-eligible master fund in accordance with the requirements under HK-TH MRF MoU
ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice