person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
) separating area for communication with or providing services to a client from other business area particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel
products , the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy and completeness of information contained in the registration statement. If the