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
companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or
companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or
companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
be repealed. Clause 2 In this Notification: “securities company” means any company licensed to undertake securities business, excluding any financial institution established by other laws, which
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
สำนักงานสั่งพักการดำเนินธุรกิจ List of company licensed Securities Financing (Securities Company) Company Head office 1 TSFC SECURITIES PUBLIC CO.,LTD. 9TH FLOOR, PLOENCHIT TOWER, 898 PLOENCHIT ROAD