communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume
September to the 15th day of December of the year when such approval will expire. Please enter search criteria. Name - Surname Or Approval Identification Number Specify Name or Surname Specify Approval
workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and
investment returns for clients, including through adopting of a Statement of Corporate Values. 2.1.3 Employing knowledgeable and capable staff and implementing an employee compen- sation architecture
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the