new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence

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

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

hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of change of children’s

) – how are recovery rates set? And how are the partners monitored / supported? 4 How are partners objectives set and how does this place emphasis on quality standards / technical competence compared to

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

the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing

to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a