notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been
development hours of each level Positions Minimum Hours Average Actual Hours Partner Director Senior Manager Manager Senior Junior 2 3 4 5 6 7 The term “Network Firm” in this document has the same meaning as
the Securities and Exchange Commission as qualified to be appointed as fund manager; “Person with Power of Management” means managing director, deputy-manager, assistant manager, department director
assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
Director Senior Manager Manager Senior Junior 1 2 3 4 5 6 7 Network Firm ในที่นี้ใช้นิยามตามจรรยาบรรณของผู้ประกอบวิชาชีพบัญชี ซึ่งหมายถึงกิจการที่อยู่ในเครือเดียวกันกับสำนักงานสอบบัญชี โดย (ก) มีจุดมุ่งหมาย
(กองทุน – audit fee/partner) …................... (3) จำนวนชั่วโมงการอบรมของพนักงานแต่ละระดับ ตำแหน่ง ชั่วโมงอบรมขั้นต่ำ ชั่วโมงอบรมจริงโดยเฉลี่ย Partner Director Senior Manager Manager Senior Junior
strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By