Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
มีนโยบายการลงทุนใน Real Estate Investment Trusts และการลงทุนโดยตรง ใน Real Estate Investment Trusts (REITs) ด้วยมีบริษัทจัดการบางรายขอให้กองทุนรวมลงทุนในหน่วยลงทุนของกองทุนรวม ต่างประเทศที่มีนโยบายการ
acceptance of the service or risks arising from the service, which is in form of document or other verifiable storage. Clause 28 An intermediary shall arrange the appropriate channel and monitoring system for
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or acceptance of the service or risks arising from the service, which is in form of document or other verifiable