/ 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
Cooperation. Investment Management Policy Department Tel: 0-2263-6246 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992) , with the approval of the Capital Market Supservisory Board, Section19
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user
of Signatory A, or [ii] which is responsible for regulating securities or derivatives activities and agree with the SEC Office on memorandum of understanding concerning consultation and cooperation and
. Clause 4 In providing services to clients regarding investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the
investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the Notification on Standard of Business Operation , but also the
in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, and sub