important matters for consideration on the firm’s competence to conduct the audit, for example: - Firm personnel have knowledge of relevant industries or subject matters; - Firm personnel have experience with
shall appoint a board of directors comprising the chairman of the board, executive directors, and independent directors, who have knowledge of and experience in the capital market or knowledge and
สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
; 4. Online job application; 5. Acceptances and referral of cases; 6. Processes relating to security management of computer and information center and management of SEC internal security; 7. Profiles of
à¸Łà¸²à¸£à¸²à¸⁄ทุà¸fiสมà¸ıà¸±à¸Łà¸´à¸£à¸§à¸¡ 19-10-18 (P23 P43).pdf Qualifications of the Applicant for Approval as ASEAN Investment Analyst No. Work Experiences / Relevant Knowledge