shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
Office of the SEC regarding Approval of Auditors , from....(date)……. until ....(date)……, I hereby wish to inform the change of the audit firm to which I am attached, from …….…(name of the former audit firm
........................................................... 1. ข้อมูลตำแหน่งที่ปฏิบัติงาน ( กรรมการ ( ผู้บริหาร ( ผู้มีอำนาจควบคุมกิจการ 2. ข้อมูลทั่วไปของเจ้าของประวัติ 2.1 ชื่อ ชื่อสกุล First name Last name ชื่อ-ชื่อสกุลเดิม (ถ้ามี) Former name (if any) 2.2
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and