shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
the first attendance of such training occurs after such approval has been granted, in which case the Office may extend the interval of such training beyond two years. If any person, who has been granted
deficiencies found as part of evaluation? B6 Does the firm communicate to person who take care of in-house training to include the deficiencies area in the next training course cycle? B7 Whether the policies
/watch?v=7XwhgqivWxk https://market.sec.or.th/Documents/ca/Documents/E-Submission-Training-P2.pdf https://www.youtube.com/watch?v=7XwhgqivWxk https://market.sec.or.th/Documents/ca/Documents/E-Submission
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong