total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
(user ID) และรหัสผ่าน (password) รวมทั้งข้อมูลส่วนบุคคลที่อาจนำมาใช้เพื่อขอเปลี่ยนแปลงข้อมูลบัญชีการใช้งานระบบได้ (accountable for safeguard) 5.4 การควบคุมการเข้าถึงระบบสารสนเทศและโปรแกรมประยุกต์ (system
be done by professionals and based on recognized academic principles. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be