being fund supervisor are partners; (2) Limited partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2