the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
Intermediary _____________________________ By virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement
5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
assessment once a year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
direction primarily by considering the balance of three dimensions – economy, society and environment – under good corporate governance, appropriate risk management and effective cost management. At the same
users. This supportive environment helps to drive the Thai capital market towards the directions laid out in the SEC Strategic Plan. In this regard, the SEC has rolled out significant projects, including
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
Microsoft PowerPoint - Discussion of risks for auditor Discussion of risk ฝ่ายกํากับบัญชีตลาดทุน 2 agenda 1. Economic Environment 2. Political Environments 3. High Risk Industries 4. Specific