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
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
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
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply