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
-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools for
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
shall prepare its accounts stating true and current business operation and financial condition in conformity with the accounting standard as specified by law and any additional regulations as specified in
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 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
Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค