)........................................... Audit firm: ..……………duration of employment: …................years Position: .................................................................................................. (1.2) Since

latter approval for such position has the scope of duties exceeding the earlier approval, the period of the previous approval shall end on the date when the latter approval takes effect; (b) in other cases

the previously issued financial statements (paragraph number........) ( 5.5 Amendment of the previously issued financial statements and to earlier report provided by the auditor (paragraph number

. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ

responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the

approval for acting as a mutual fund manager or a private fund manager revoked; (12) Having been dismissed, discharged or terminated from employment as a result of any dishonest act; (13) Being or having

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

in the interest of investor protection or to ensure the uniformity of operating standards. Clause 9 Apart from what specifically prescribed earlier, the SEC Office shall have the power to prescribe

duties exceeding the earlier approval, the period of the previous approval shall end on the date when the latter approval takes effect; (b) in other cases apart from sub clause (a), the period of approval

personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function