fund committee to notify the termination of membership should have the following particulars: (a.1) name and code of member (a.2) date of being employed with the current employer/date of becoming a

which the possible effects on current period’s figures exist, where: ( 2.3.1 corresponding figures contain material misstatements but there is no effect on current period’s figures (paragraph

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

Date : (Please attach a copy of identification card or passport) 1.3 Nationality : 1.4 Date of Birth : [ specify director or executive’s full name ] 1.5 Current Address : # Village / Building Moo Trok

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

....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...

Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity

; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting

scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly