the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
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
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the
risk เพียงอย่างเดียว หมายเหตุ กรณีเป็นกองทุนรวมที่มีนโยบายลงทุนใน structure note บริษัทจัดการจะต้องพิจารณาตำแหน่งของกองทุนรวม ซึ่งสามารถอยู่ระหว่างกองทุนรวม ตราสารหนี้ ถึง กองทุนรวมที่ลงทุนในทรัพย์สินทาง
, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the intermediary shall comply
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted