; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
shall prepare its accounts stating true and current business operation and financial condition in conformity with the accounting standard as specified by law and any additional regulations as specified in
inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
. ( - 2 the Certified Investment and Securities Analyst (CISA) Level 1, or the Chartered Financial Analyst (CFA) Level 1 Work experience in Thailand or foreign countries for a total period of not less than
holding of shares in each level exceeds 75 percent of the total number of outstanding shares of such company; (9) “Office” means the Office of the Securities and Exchange Commission. Clause 2. In cases
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted