promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
consideration by more experienced engagement team member. If yes, please describe the policies and procedures If no, how the firm obtains assurance that work done is appropriate? 6 Do the firm’s policies and
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
readiness in term of financial and management capability to undertake derivatives business as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business
เกณฑ์ใหม่ตามสิ่งที่ส่งมาด้วย 4 3.2.2 experienced staff (1) การพิจารณาประสบการณ์การติดต่อและให้บริการลูกค้าในการ เสนอขาย product ร่วมกับคนขายมาไม่น้อยกว่า 10 ปี ในวันที่ประกาศมีผลใช้บังคับ สำนักงานจะ
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business categories so that licensed operators are able to offer a fully integrated services in