Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
directly to the SFC, who will use it as a supporting document of the application for authorization of Hong Kong feeder fund. The SEC will notify the Thai AMC who manages the MRF-eligible master fund upon the
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
necessary case such as system administrator computer operator etc.. Physical Security. Objective . Physical Security have an objective for preventing unauthorised person access risk, integrity risk or make
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating guidelines for the personnel of the intermediary
. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
(นางสาวรื่นวดี สุวรรณมงคล) เลขาธิการ ฝ่ายนโยบายธุรกิจตัวกลาง โทรศัพท์ 1207 กด 7 “สำนักงาน ก.ล.ต. ได้รับรางวัลรัฐบาลดิจิทัล ปี 2563 (DG Awards 2020) และรางวัลชมเชยองค์กรโปร่งใส (NACC Integrity Awards) ครั้ง
that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor and a trustee are the same person