. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ 1 The Association means
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
Debentures; (10) subordinated instruments eligible for inclusion as capital issued according to the Notification of the Capital Market Supervisory Board concerning Offer for Sale of Subordinated Instruments
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3