Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a

policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

)........................................... Audit firm: ..……………duration of employment: …................years Position: .................................................................................................. (1.2) Since

opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct

employment; (6)9 when such persons who are personnel in the capital market business under Clause 9(1) or (3) based on the qualifications of ASEAN investment consultant or ASEAN investment analyst , are no

limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque

ควบคุมคุณภาพงาน (EQCR) ผู้จัดการ(audit manager) และผู้ช่วยผู้สอบบัญชี (staff) ดังนี้ บริษัท ชั่วโมงการทำงาน ไตรมาส 1 ไตรมาส 2 ไตรมาส 3 งวดปี SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR

. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ

auditors responsible for the audit engagement (engagement partners), the engagement quality control reviewer (EQCR), the audit manager, and the assistant auditors (staff), as follows: Client Chargeable hours