same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
) information according to sub clause (a) and (b) arranged in form which the client would be able to understand correctly and without being mistaken; (4) the advertisement shall have appropriate caution regarding
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
เพราะผู้สอบบัญชีทุกรายต้องตรวจสอบรายการทางบัญชีและการจัดทำงบการเงินให้เป็นไปตามมาตรฐานการบัญชี และทำงานตามมาตรฐานการสอบบัญชี ที่สภาวิชาชีพและ regulator แต่ละ Industry กำหนดอยู่แล้ว เนื่องจากการจัดตั้ง
the details of listed companies you have been involved with in the latest year No. Name of entities Industry Your responsibility (Siging Partner/Engagement Partner/EQCR 5. Declaration I hereby declare