period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including

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

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

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

units, of which their functions constitute or may give rise to conflicts of interest, from other units and personnel, and specifying the work procedures of those units and personnel for preventing