firm or equivalent; (3) being attached to only one audit firm and such audit firm shall have the characteristics as prescribed by Clause 11; (4) not possessing any prohibited characteristics as
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
revise the rules to allow a person or a group of persons to hold investment units of any retail fund not exceeding one-third of the total units sold.In case of exceeding the unit holding limit as specified
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
/Documents/ca/Documents/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or