, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with

be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

objective of investment, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related

policy relevant to their job function; (2) communicate to the employees and contractors that they should exercise precaution and refrain from using the organization’s information systems that may likely

liabilities which the derivatives broker shall pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the Office of the Securities

pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the SEC Office. (6) “ qualified liabilities ” means (a) liabilities

qualification and what is the criteria for making manager/senior manager/partner. What is the focus on performance - commerciality or technical competence? 3 What is the focus / objectives for audit staff at job

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

responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall

) ( ( ( ( ( ( ( ( สำหรับผู้ขอรับใบอนุญาต สำหรับเจ้าหน้าที่ ( (ข) รายละเอียดงาน (Job description) ของผู้บริหารของทุกหน่วยงานภายใต้ ฝ่ายที่รับผิดชอบงานด้านการจัดการกองทุนส่วนบุคคล ทั้งนี้ หากหน่วยงานใด เกี่ยวข้องหรือสนับสนุน