· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
17 February 2009, the Cabinet has declared 6 July 2009 a special public holiday in order to stimulate domestic consumption and promote tourism business. By virtue of Section 110 of the Securities and
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
........................... Contact person: .................................................... Phone: ........................ E-mail:............................ Remarks : 1. In case of domestic branch office, the applicant is
Domestic Fund) เป็นกองทุนรวมที่บริษัทจัดการจัดตั้งขึ้น โดยมีวัตถุประสงค์ที่จะเสนอขายหน่วยลงทุนให้แก่ผู้ลงทุนที่มีภูมิลำเนาอยู่ในประเทศไทย เพื่อที่จะระดมเงินทุนในประเทศไทย อย่างไรก็ตาม เนื่องจากกองทุนรวมไม่มี
well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the