Standard แก้ไขเพิ่มเติม พฤษภาคม 2561 เอกสารเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการลงทุนในหลักทรัพย์ต่างประเทศ การลงทุนในหลักทรัพย์ต่างประเทศมีความเสี่ยง ผู้ลงทุนอาจสูญเสียเงินลงทุนไม่ว่าทั้งหมดหรือบาง
) Developed internally by the firm? If no, How does the firm ensure that assurance engagements are performed in accordance with auditing standard? How does the firm ensure that audit manual reflect recent
Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September
together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities business prescribed by an agency or association connecting