responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
the Securities and Exchange Commission No. Kor Nor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds, dated 10 June 2004 and Clause 2 (2) and Clause 18 (6) of the
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
) and Clause 20 of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of Funds dated 20 July 2009, the Office of the Securities
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
Establishment and Management of Funds dated 20 July 2009; (2) Clause 4(1) of the Capital Market Supervisory Board No. TorKhor. 55/2552 Re: Rules, Conditions, and Procedures for Brokerage, Dealing, and
ให้สอดคล้องกับโครงสร้างตำแหน่งงานของสำนักงานสอบบัญชีแต่ละแห่งโดยระบุแยกระดับขั้นย่อยของแต่ละตำแหน่ง (ถ้ามี) ** โดยระบุขอบเขตและลักษณะงานที่ได้รับมอบหมายของแต่ละตำแหน่ง (job description) *** สามารถระบุ
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7