management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
คุณสมบัติอื่น ได้แก่ ความถูกต้องแท้จริง (authenticity) ความรับผิด (accountability) การห้ามปฏิเสธความรับผิด (non-repudiation) และความน่าเช่ือถือ (reliability) ข้อ 3 เพื่อประโยชน์ในการปฏิบัติตามหลักเกณฑ์ทีก่ำ
achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the
coordinating with other units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
be guided by the following five fundamental ethical and professional principles: 1. Integrity 2. Objectivity 3. Professional Competence and Due Care 4. Confidentiality 5. Professional Behaviour Some
will have necessary competence and capabilities in significant areas. Moreover, the firms should notify those policies and procedures to the staff across the organization. 2. Policies and procedures for
ความลับ (confidentiality) ความถูกต้องครบถ้วน (integrity) และความถูกต้องแท้จริง (authenticity) ของข้อมูลมีความเหมาะสมและมีประสิทธิภาพ ดังนี ้ 6.1 กำหนดวิธีการเข้ารหัสที่ปลอดภัย 6.2 กำหนดการบริหารจัดการ
Office to suspend functioning as lead appraiser or being under the period of time that the SEC Office could refuse to accept the application; (7) having passed the test of competence or taken professional
of the product to the worldwide level and increase competence and capability of the company continuously and sustainably. 2. Business Outlook on Q2/2018 Management’s Discussion and Analysis (MD&A) For