· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and

, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

ไปกว่าทรัพย์สินที่ต้องการป้องกันความเสี่ยง (underlying obligation) ให้บริษัทจัดการคิด company limit ที่ผู้ขายประกันความเสี่ยงแทน underlying obligation ได้ โดยให้คิดเท่ากับมูลค่าชดเชยสูงสุดที่ต้องชำระ

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary

any center or network with the characteristics as specified in the notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation