structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

operation of the fund and shall have the power to appoint a fund manager and shall be the representative of the fund in the businesses involving third parties. For such purpose, the fund committee may

of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to

defined in the Code of Ethics for Professional Accountants which refers to businesses affiliated to Audit Firm that (a) have the intention to cooperate and (b) have a clear objective to share profits and

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

system shall be in accordance with the following rules: (1) determining the objective of internal control in line with the purpose and mission of the company; (2) having internal control system which is

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of