and the relevant accounting periods, the names of auditors responsible for such engagements, and brief results on each audit engagement inspection.) (3.2) Audit Firm level

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

cost by 10 percent within this year, etc. 1.2 Material changes and developments Give a brief account on the material changes and developments regarding changes in control and the nature of business

, concise and reliable. [M] · Making a contract identified clearly a data confidentiality and scope of work and service level agreement. [A] 2. Service provider controlling · In case of get a service on

notify the incidents to the regulatory agencies in time, the intermediaries shall design a plan for communication with relevent persons either inside or outside companies in accordance with possible

ผลิตภัณฑ์ (product design) ของบริษัทคล่องตัวมากที่สุด จึงเห็นควรกำหนดเป็น guideline กว้าง ๆ แต่เข้าใจตรงกันให้แต่ละบริษัทนำไปเลือกปฏิบัติตามที่เห็นสมควร แต่ถ้าธุรกิจเห็นว่าควรมีมาตรฐาน ก็อาจนำมากำหนดร่วมกันใน

Investment Strategy of Program Trading ______________________ Clause 41/3 In this Division: “ portfolio advisory ” means securities analysis and investment consultation to design a portfolio advisory for a

unauthorized physical access. Additional Guidelines 1. The intermediary should design the secure areas by considering physical protection against natural and man-made disasters. Perimeters of building or site

) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the