checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
, 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
); (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
· 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
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า
management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make