pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
, revaluation surplus (deficit) in investment, it shall separate surplus (deficit) categories of each its categories. Financial statement of the sole company (Unit:Baht) Ordinary share Stocks right and warrants/1
the trust instrument appoints a sole trustee or several trustees and specifies each trustee to separately manages the trust property, if there is a cause to alter the trustee but the new trustee has not
is investing in an infrastructure asset which is the right to receive the future income or the right under the future income sharing agreement under Clause 1(3) (c) and the fund is not the sole