The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
: ................................................................................................................... Child information: number of children: ......... person(s) Name of children Date of Birth Age (years) Workplace (1
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
e-service Online Submission Derivatives Advisor Licensed Derivatives Advisor | Registered Derivatives Advisor | Licensed Derivatives Advisor (Individual) Company Name Head Office 1. KASIKORN
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as