. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
-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
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
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
{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection
staff, as well as making it difficult to attract new talents. To improve the retention rate of high-potential employees, several audit firms started to adapt their strategy and policies concerning
capabilities to ensure adequate audit personnel for the amount of current and future audit works because the quality of assurance services truly depends on the capabilities of audit staff, obtained through