; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

obligations or conditions in the following years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any

fund management Ο private fund management Ο other, (please specify)…………….. (Translation) 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office

personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance

คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า

. Audit Firm Profile Name: .............................................................Juristic Person Registration No............................... head office located at