specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week
: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the
” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by
decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However
experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries