and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
)........................................... Audit firm: ..……………duration of employment: …................years Position: .................................................................................................. (1.2) Since
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor
วันที่ลงทุนในทรัพย์สินหรือเข้าทำสัญญานั้น และมี portfolio duration ในขณะใดขณะหนึ่ง ไม่เกิน 3 เดือน เสี่ยงปานกลาง ค่อนข้างต่ำ 2 กองทุนรวมตลาดเงิน - มีนโยบายลงทุนในต่างประเทศบางส่วน แต่ไม่เกินร้อยละ 50
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings