Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
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consistent manner; (2) set out detailed guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this
, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional