approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
Business B generate 65 percent and 35 percent of the total income respectively. Such clarification is made with reference to the relevant notes to the financial statements). Income Structure1 Product Line
disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units