reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or any other benefits are appropriate and fair
promotion which provides investors who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or
keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client
เป็นประเพณีนิยมซึ่งไม่มีลักษณะที่มีความเกี่ยวข้องกับการตัดสินใจคัดเลือกผลิตภัณฑ์หรือบริการที่จะให้ลูกค้า เช่น ของขวัญที่ผู้ให้เตรียมไว้แจกทั่วไปในนามบริษัท (corporate gift) ได้แก่ ปฏิทิน ไดอารี่ สมุดโน้ต
or non audit services) between the audit client and its affiliates and the firm? B.VIII Gift and Hospitality 1 Any significant gifts and hospitality received by the audit, firm, key finance accounting
. receiving a gift or other benefits from the client , servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other