investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

Rules, Conditions and Procedures for Application for and Approval of Offer for Sale of Newly Issued Debt Securities ; (5) perpetual bonds; (6) securitized bonds issued according to the Notification of the

related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

following regulations: (1) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

นั้นเป็นหุ้นกู้ 2.2.1 ชื่อเฉพาะของหุ้นกู้ที่เสนอขาย 2.2.2 ลักษณะของหุ้นกู้ที่เสนอขาย ( หุ้นกู้ไม่มีประกัน ( หุ้นกู้มีประกัน หลักประกันคือ ( หุ้นกู้ด้อยสิทธิ ( หุ้นกู้ไถ่ถอนเมื่อเลิกบริษัท (perpetual bond

แนะนำ แก่ผู้ลงทุนในหุ้นกู้ด้อยสิทธิที่มีลักษณะคล้ายทุน (perpetual subordinated bond) ด้วยหุ้นกู้ด้อยสิทธิที่มีลักษณะคล้ายทุน (“หุ้นกู้ด้อยสิทธิคล้ายทุน”) (perpetual subordinated bond) ซึ่งมีลักษณะ ความ

references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work