from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
procedure to examine the accuracy of the list of unitholders who have the right to vote and the number of units together with the letters sent to the unitholders 5.3 A procedure to examine the authenticity of
unitholders 5.3 A procedure to examine the authenticity of signature and the authorisation of the signatory. 5.4 A report on resolution of the unitholder. 3.3.2 Prescription of fees and expenses of the fund
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
คุณสมบัติอื่น ได้แก่ ความถูกต้องแท้จริง (authenticity) ความรับผิด (accountability) การห้ามปฏิเสธความรับผิด (non-repudiation) และความน่าเชื่อถือ (reliability) ข้อ 3 เพื่อประโยชน์ในการปฏิบัติตามหลักเกณฑ์ที่
คุณสมบัติอื่น ได้แก่ ความถูกต้องแท้จริง (authenticity) ความรับผิด (accountability) การห้ามปฏิเสธความรับผิด (non-repudiation) และความน่าเช่ือถือ (reliability) ข้อ 3 เพื่อประโยชน์ในการปฏิบัติตามหลักเกณฑ์ทีก่ำ
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
filings the offeror + FA together submit the application and certify the correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3
advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the