internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
particular time; (5) Investment in financial instruments/contracts which are legal under the concerned laws; (6) All expenses chargeable to the fund should serve the purpose of fund operation; (7) Every
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
) any business operator, which has not been permitted to operate business yet in any particular category, given the SEC Office’s ongoing process of inspection before operating business, shall be exempt