)........................................... Audit firm: ..……………duration of employment: …................years Position: .................................................................................................. (1.2) Since
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees
. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ
Act, to serve as a security for the employees in case of their death, termination of employment, or resignation from the fund, by payments of the employees’ savings and the employer’s contribution in
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function
responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the
approval for acting as a mutual fund manager or a private fund manager revoked; (12) Having been dismissed, discharged or terminated from employment as a result of any dishonest act; (13) Being or having
in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal