to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
the transfer of assets, rights and duties of the transferred mutual fund as specified in the fund scheme of the mutual fund which accepts the transfer of assets and the transferred mutual fund is
Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which
know or should not have known that the acquired property has been disposed or transferred in breach of trust. SECTION 41 In managing a trust or delegating any person to manage a trust in accordance with
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
change category of debt instrument which holding until maturity due, it shall disclose additional details, as follows: a) the amount of write-off cost of the securities sold or transferred; b) total amount
of the employee’s assets transferred from his previous fund or from the Government Pension Fund, provided that the transfer of such assets to the fund shall be in accordance with the rules and
ของสมาคมและ SRO) โดยคำนึงถึงความเสี่ยงที่พนักงานอาจมีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์ ในกรณีที่มีความเสี่ยงสูง ผู้ประกอบธุรกิจต้องมีมาตรการเพิ่มเติม (enhance) ที่จะทำให้ติดตามตรวจสอบได้ว่าพนักงานมีการ
เสี่ยงสูง ผู้ประกอบธุรกิจต้องมีมาตรการเพิ่มเติม (enhance) ที่จะทำให้ติดตามตรวจสอบได้ว่าพนักงานมีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์หรือไม่ และหากพบว่ามีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์ จะต้องมีบทลงโทษและมีการกำหนด