with power of management of a partnership or a limited company in which such person himself or any person or partnership or limited company as specified in Section 258(1), (2), (3), (4), (5) or (6) is a
management; “Connected person” means: (1) Ordinary 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
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
conducting of the business and such personnel must have knowledge and ability appropriate to their duties. Guidelines 1. Human resources planning of each unit should demonstrate the adequate amount of
association related to securities business applying for establishment; (2) the most recent certification of registration of the founding securities companies issued by the Office of Partnership Registration
position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate
: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of
aspect, such as, strike of employees or inaccessibility to building or facilities in areas. 9.2 Human resource aspect, such as, loss of executives or a key personnel or lack of personnel in large number