entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct

limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque

ควบคุมคุณภาพงาน (EQCR) ผู้จัดการ(audit manager) และผู้ช่วยผู้สอบบัญชี (staff) ดังนี้ บริษัท ชั่วโมงการทำงาน ไตรมาส 1 ไตรมาส 2 ไตรมาส 3 งวดปี SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR

auditors responsible for the audit engagement (engagement partners), the engagement quality control reviewer (EQCR), the audit manager, and the assistant auditors (staff), as follows: Client Chargeable hours

performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However

approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties