/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the

employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to

following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational