, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from
shall remove such person’s name from the register of person qualified to be fund manager. Clause 7 . Any person to be approved to be listed in the register of person qualified to be fund manager shall
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the
shall undertake the securities borrowing and lending business within that restriction. In the case where the business operator under the first paragraph wishes to relax or remove such restriction, the
property fund manager shall be deemed terminated and the Office shall remove the name of such person from the register of person qualified to be fund manager if such approved person cease to be the manager
operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the
possessed prohibited characteristics under Division 1, an intermediary shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under
shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under Clause 29, the removal shall begin when [i] the court has made