· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
allocated to the persons in each group; (c) keep documentary evidence or information supporting the reason for allocating shares to any persons in the value of one hundred million baht or more at the main
shares allocated to the persons in each group; (c) keep documentary evidence or information supporting the reason for allocating shares to any persons in the value of one hundred million baht or more at a
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the