Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and

Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any

person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately

leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d

rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an

.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment of a brokerage

investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand

; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Office” means the Office