investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation
related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
connection of physical disconnect and disable port that unnecessary to connect to network system out of the network system. [M] · In case of accession to the network system as remote access or connect to
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work
matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
แสดงมูลค่าตามราคาตลาดของหลักทรัพย์นั้นในบัญชีเงินลงทุนใน หลักทรัพย์ของบริษัท (Proprietary Port) %มูลค่าหลักทรัพย์ในพอร์ตลงทุนของบริษัทเทียบกับมูลค่าทั้งหมด ของพอร์ตลงทุนใน บริษัท แสดงสัดส่วนของมูลค่าตาม