evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription
Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
___________________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to the restriction of the rights and liberty of persons which Section 29 in conjunction
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the