business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face
complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
cases where a client wishes to trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of
ตำแหน่ง * หน้าที่รับผิดชอบ ** จำนวนคน ประสบการณ์ทำงานด้านสอบบัญชี (ปี) *** ประสบการณ์เฉลี่ย**** อัตราการหมุนเวียนของพนักงาน(turnover %) ***** หุ้นส่วน (partner) ผู้จัดการอาวุโส (senior manager) ผู้จัดการ
(senior manager) ผู้จัดการ (manager) ผู้ช่วยผู้สอบบัญชีอาวุโส (senior) ผู้ช่วยผู้สอบบัญชี (junior) ผู้เชี่ยวชาญด้าน......................... ผู้เชี่ยวชาญด้าน......................... รวม * สามารถปรับเปลี่ยน