Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal derivatives brokerage ; (9
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of such position, and the Office has
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
) ทั้งนี้ สำนักงานจะพิจารณาจากการมี สถานะ fit and proper ตามหลักเกณฑ์ของต่างประเทศ เช่น ยังคงดำรงคุณสมบัติการเป็นบุคลากร โดยได้เข้าอบรม refresher course เป็นต้น และยังคงสามารถปฏิบัติหน้าที่ได้ในต่างประเทศ
elements in TSQC 1, as follows: (1) Leadership Responsibilities for Quality within the Firm (2) Relevant Ethical Requirements (3) Acceptance and Continuance of the Client Relationship and Specific
days, and shall complete the liquidation within one hundred and fifty days from the date of dissolution, except in case of necessity where the registrar may allow extension thereof as seen fit. Section
court thinks fit by considering circumstances in which such person’s participation causing damage to the trust property. SECTION 46 In cases where a beneficiary has notified the new trustee to perform
by the derivatives exchange; (7) rules for the admission of members which shall take into consideration the fit and proper status of the applicants; and (8) rules applicable to members and arrangement