for the computer operation such as procedure for open-close system, procedure for assessment, procedure for monitoring the operation system effectiveness and compliance schedule etc. and modify
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป
. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be