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
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the