ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
where there are burdensome number of hours required to complete the engagement; and · Engagements for entities in development stage. If no, describe how the firm obtains assurance that it is not
responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better
Institutions Development Fund; (q) juristic persons in which any persons specified under sub clause (a) to (p) hold shares in an aggregate of more than 75% of the total number of voting shares; (r) foreign
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The