Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds to both SEC and BOT on a monthly basis. In order to reduce the asset management companies’ reporting burdens, SEC held a discussion with BOT and reached a joint decision that BOT would use information in the report that mutual fund and provident fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PI...
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
preserved information media and duplicate the procedure or compliance guideline in other place for security in case of he operational place damaged and providing the entrance controlling and damage prevention
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be