regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
in the register of person qualified to be fund manager. In granting an approval according to the first paragraph, the Office may specify a period for the applicant to attend the first training course
Clause 9 shall be made in continuation of the time during which such person used to receive training under relevant notifications. If such person has been authorized, approved or registered under more than
เฉพาะ เป็นต้น นอกจากนี้ ส านักงานได้ก าหนดให้มี self-monitoring ในการปรับปรุงเกณฑ์ที่เสนอใหม่อยู่แล้ว Plain/Common Risky/Complex training & Flyer designated Sales person suitability test + basic asset
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office; (b) In
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
by the company or the company's executives; 3 .2 Rules related to CFO and Chief Accountant 3.2.1 Qualification of CFO and Chief Accountant The person assigned to the