approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
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
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
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
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
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
engagement/client’s relationship: · discussing with the appropriate level of client’s management /those charged with governance the appropriate action the firm may take; · if the firm determines that it is