Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

of their participation in knowledge development activities to be kept for at least two years from the year in which the renewal is granted; 5.2 The organizer – the evidence of organizing the training

offeror of such outbound product : (1) organizing a roadshow for the general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to invest

the offeror of such outbound product : (1) organizing a roadshow for general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to

, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and

practical for property fund managers’ lines of work such as Investment in Real Estate, Real Estate Project Development, Strategic Planning of the Projects, Real Estate Management, Consulting for Real Estate

engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and

4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6

supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the

following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services