oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order that the intermediary able to pursue
Thai AMC is required to perform on-going monitoring and oversee that the mutual fund maintains the qualifications of an MRF-eligible master fund in accordance with the requirements under HK-TH MRF MoU
that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying
. 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
’ ability in part of investment, debt repayment and pledging collateral, as well as clients’ ability to perform in respect of any servicing agreement shall be revised and updated at least every year. (2) in
handling system, report of customer complaints and result of the complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 In servicing as Derivative broker
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage