provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would
examining that have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition · Inspect the transfer of operation
investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation
related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or
recommendation of the Minister of Finance, the Permanent Secretary of the Ministry of Finance, the Permanent Secretary of the Ministry of Commerce and the Governor of the Bank of Thailand and at least four but not
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a