Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a significant part of partner portfolio and/ or where client
defining responsible personnel to report and deal with malware threats; (4) regular reviews of the software and data content of systems supporting critical activities . The presence of any unapproved
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being
other cases, such transactions shall have the following particulars: (1) Being transaction with the best execution for fund; (2) Being a necessity and advantage transaction for fund; (3) Being an at arm’s
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...