firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
Page | 6 คำอธิบายข้อมูล รหัสของตาราง DA_ACCOUNT_TH ชื่อตาราง จำนวนบัญชีซื้อขายสินทรัพย์ดิจิทัลที่ active รายเดือน แยกตามประเภทผู้ลงทุน (เฉพาะบัญชี Exchange & Broker) ความถี่ของข้อมูล ความล่าช้าและ
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard