management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds thereform to invest in, or procure for profit from
เครื่องหมายลงในช่องที่ตรงกับประเภทการจ่ายผลตอบแทนของประเภทบัญชี รวมทั้งระบุรอบเวลาในการจ่ายโบนัส / profit sharing เช่น จ่ายโบนัสทุกรอบปี หรือ profit sharing ทุกเดือน เป็นต้น) ประเภทบัญชี ประเภทการจ่ายผลตอบแทน