the ethical requirements element? Note: The definitions of 'staff' or 'personnel' in this questionnaire shall include all relevant staff of the audit firm, such as the firm's employees, network provider

Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm

Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d

firm’s strategic and business plan. If yes, please describe. 2 How does the firm conduct the estimation of personnel needs (e.g. developing succession plan)? 3 How does the firm deal with the staff