information, monitoring of systems performance, and operating schedule. The operating procedures should be reviewed and updated regularly and made available to relevant users; 2. The intermediary should
virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and ensuring
in the Audit Firm and the scheme or criteria in setting up the remuneration to the partners in the Audit Firm in the previous accounting period ensuring that the independence of the auditors shall not
business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any client in each category is treated fairly and with the best
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give