. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control activities in order to prevent or minimise possible damage. In this case, 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
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701 HYPERLINK "https://www.imf.org/external/np/exr/facts/fsap.htm" https://www.imf.org/external/np/exr/facts/fsap.htm
เข้าประชุมเพื่อขอรับฟังความคิดเห็น เรื่อง แบบรายงานธุรกรรมด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้า เมื่อวันที่ 18 มกราคม 2551 โดยกำหนดให้ส่งแบบรายงานการประกอบธุรกิจ (Activities Report) ต่อสำนักงานเป็นราย