accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
/EquityDebt/Pages/Auditors.aspx#Tabcontent2 2. การเพิ่มปริมาณผู้สอบบัญชีที่สามารถลงนามรับรองงบการเงินได้จะทำให้มีการกระจายงานและผู้สอบบัญชีทำงานได้ด้วยความทุ่มเทมากขึ้นและเพิ่ม accountability ให้แก่ผู้สอบบัญชี
SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A
precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives
) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in
”) จึงเห็นว่า มาตรการหนึ่งที่จะเสริมสร้างให้ผู้บริหารและ Fund Manager ให้ความสำคัญในเรื่องดังกล่าว คือ การกำหนดให้บุคคลดังกล่าวมีความรับผิดชอบส่วนตัว (personal accountability) ในการปฏิบัติหน้าที่ดังกล่าว
business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3
has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary