change to the market condition and conduct a full validation of such model at least once a year. Clause 6 The derivatives clearing house shall apply effective measures and methods for monitoring and
derivatives investment management, as the case may be. In this regard, the details of such outsourcing shall be specified clearly in the details of the fund scheme, or a client who is a provident fund or a
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
programs for specific client industries? 15 Do the https://www.sec.or.th/TH/Documents/Auditor/QAQR-06.xlsx Excel_Tool_Thailand_Taxonomy_ENG.xlsx thresholds. The rationale of determining these specific
/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint
of business operators to support weekly reporting of granular data per client and per securities. The notifications* concerning the amendments will take effect from 1 December 2024 onwards.**Remark
million baht, comparable to a securities company that safeguards client assets. Additionally, a funding portal acting as a bondholder representative is required to meet and maintain financial
paid-up registered capital of at least 25 million baht, comparable to a securities company that safeguards client assets. Additionally, a funding portal acting as a bondholder representative is
นำโดย Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute และนายศรชัย สุเนต์ตา นายกสมาคมและผู้แทนสมาคม ซีเอฟเอ ไทยแลนด์ เพื่อแลกเปลี่ยนความคิดเห็นและหารือความร่วมมือต่าง ๆ ในอนาคต