technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness
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
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
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking
every three months at least. · For each time of changing password, it should not determine new password similar to the latest password. · do not determine the password in the typical form such as “abcdef
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