the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
ตำแหน่ง * หน้าที่รับผิดชอบ ** จำนวนคน ประสบการณ์ทำงานด้านสอบบัญชี (ปี) *** ประสบการณ์เฉลี่ย**** อัตราการหมุนเวียนของพนักงาน(turnover %) ***** หุ้นส่วน (partner) ผู้จัดการอาวุโส (senior manager) ผู้จัดการ
(senior manager) ผู้จัดการ (manager) ผู้ช่วยผู้สอบบัญชีอาวุโส (senior) ผู้ช่วยผู้สอบบัญชี (junior) ผู้เชี่ยวชาญด้าน......................... ผู้เชี่ยวชาญด้าน......................... รวม * สามารถปรับเปลี่ยน
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face