engagement competently If yes, how this decision is reached and whether it is documented. Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes
evaluation shall be reported to the Board or the assigned working group periodically as deemed appropriate. The evaluator as such may be insiders or outsiders of companies. 8.4 In order to adjust the BCP to be
documented information security policy which addresses at least the following matters: (1) policy on the use of cloud computing which covers the methods for selection and evaluation of cloud providers, review
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
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
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High