company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
information which has been registered, the management company shall immediately submit an application for the change and revision of such items in the registration so that the information thereof shall be up-to
2 (UNOFFICIAL TRANSLATION) Codified up to No.4 As of 14 December 2012 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
-ร่าง- UNOFFICIAL Translation Codified up to No. 4 As of 15 February 2013 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
ประกาศคณะกรรมการกำกับตลาดทุน (UNOFFICIAL TRANSLATION) Codified up to No.6 As of 1 August 2017 Readers should be aware that only the original Thai text has legal force and that this English