procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
. General information and other material facts 19 Part 2: Corporate Governance 6. Corporate governance policy 21 7. Corporate governance structure and material facts related to the board, 23 subcommittees
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
used in business operation 6. Future projects 7. Legal disputes 8. Other important information 2.3 Management and corporate governance 9. Information on securities and shareholders 10. Management
2 ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 41/25602558 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุน สำหรับผู้ลงทุนสถาบัน (Investment Governance Code for Institutional
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in