selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit
caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the
associated companies. The information in this part shall be described in brief and the details thereof shall be disclosed in attachment; (5) Under-construction projects. (Only in case of high-value, time
opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
Notification of the Securities and Exchange Commission regarding Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor . “ private equity ” means a
and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and
สิทธิคล้ายทุนมาเสนอให้ผู้ลงทุนเฉพาะเมื่อประเมินความเสี่ยงและผลตอบแทนแล้วเห็นว่า เหมาะสม และเป็นธรรม (product screening and selection) 2. จัดให้มีการเปิดเผยข้อมูลแก่ผู้ลงทุนอย่างเพียงพอ โดยอาจมีเครื่องมือ
each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to