audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please describe B Supervision and review responsibilities: 5 Has the firm established policies
where such major shareholder is a legal entity, its director, manager and partner do not have any of such prohibited characteristics; 6) Being able to show its sound and effective management system; (7
institution having relationship as its parent company, subsidiary company, or associate company, the derivatives broker shall receive consent given in writing from the client prior to the foregoing process. The
associate company as an agent, the securities company shall inform its clients of such relationship as well. The definitions of the terms “ parent company ,” “ subsidiary company ” and “ associate company
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
รู้เกี่ยวกับ สัญญาซื้อขายล่วงหน้า ( 4 ผู้ที่ทดสอบผ่านหลักสูตร Certified Financial Planner (CFP) หลักสูตรใหม่5 ( ( ( ( 5 ผู้ที่ทดสอบผ่านหลักสูตร Associate Financial Planner Thailand (AFPT)6 ( ( ( ( 6 ผู้
agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in