and identifying key stakeholders for the Company’s operation to implementing disclosure standards, for example. If international standards are implemented for operation and reporting, identify the host
. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
threats to independence and objectivity and take appropriate actions, including withdrawing from an engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying
เปิดเผยข้อมูลด้วยตนเอง (self-declared) และพิจารณาขอเอกสารข้อมูลสินทรัพย์อื่น ๆ เพิ่มเติมจากลูกค้าได้ เพื่อตรวจสอบข้อมูลการ self-declared ของลูกค้าเท่าที่สามารถกระทำได้ (best effort) 3.1.2 การจัดทำคำแนะนำ
customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and
ขายหลักทรัพย์ผ่านผู้จัดจำหน่ายหรือไม่ และเป็นแบบใด (firm underwriting หรือแบบ best effort underwriting) (2) ผู้จัดจำหน่ายหลักทรัพย์ (กรณีผ่านผู้จัดจำหน่าย) ให้ระบุชื่อ ที่อยู่ และหมายเลขโทรศัพท์ (3