Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a significant part of partner portfolio and/ or where client
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค