Agency - Debenture Holders’ Representative - Approved Personnel in Capital Market (e.g. Investment Analyst, Investment Consultant, Investment Planner, Fund Manager, and Executive). Administrative Sanction
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
approval of offer for sale of units of the trust within five years before submitting the application Obtaining approval from the SEC, thereby in readiness of work systems and personnel capacity to
the firm: Firm's Reference /Guidance Notes Description 1 How does the firm establish the internal communication process to enable personnel and engagement teams to understand and carry out the SOQM
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
intermediaries and personnel in the capital market to adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded.The Strategic Plan 2018-2020 focuses on
personnel related to the capital market or supervision of the capital market, 3) enhance knowledge and understanding about the capital market, investments and capital market development for investors
this goal in the future."________________________* Consisting of (1) allowing personnel to dress according to the gender identity or sexuality of a person, (2) arranging areas suitable for the number