assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
another person to undertake the investment management, such designation shall comply with the following rules: (1) The person so designated must be qualified to undertake securities business in the category
ใหม่เป็นราคาทุนตัดจำหน่าย (ตาม TFRS 9) ยอดเงินลงทุนที่วัดมูลค่าด้วยมูลค่ายุติธรรมผ่านกำไรหรือขาดทุน (ตาม TFRS 9) - เงินลงทุนที่วัดมูลค่าด้วยมูลค่ายุติธรรมผ่านกำไรหรือขาดทุน - Designated .......(เปิดเผย
securities and exchange or within the time period agreed upon by the parties to the trading of securities, as the case may be. In any sale of securities not designated as a short sale, but there is a necessity
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
; □ (3.9) System to ensure that the custodian agent can perform duties as designated in accordance with the Notification of the Office; □ (3.10) Other systems showing the readiness to undertaking the
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the