responsible for damage arising to a financial institution whose license has been revoked or business operation controlled or suspended because its business rehabilitation or operational plan has not been

keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to

interest, including keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the

and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

Supporting Documents   16/07/2004 01/08/2004 7. Notification of the Office of the Securities and Exchange Commission   8/2545    13/02/2002 16/02/2002 8. Report/Form (Notification of Securities and Exchange

training/or tailor-made programs for specific client industries? 15 Do the https://www.sec.or.th/TH/Documents/Auditor/QAQR-06.xlsx < < Previous First 1 2 Next