. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In
and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take