and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
structured CPD for registered auditors? 5 Is there a training policy for other audit issues of Listed Companies? 6 Are these CPD targets communicated to each individual? If yes, how? 7 Are these targets
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
include “private fund management company”. ** These sub clauses have been modified by the Notification of the Capital Market Supervisory Board No. TorThor. 24/2557 Re: Rules, Conditions and Procedures for
include “private fund management company”. ** These sub clauses have been modified by the Notification of the Capital Market Supervisory Board No. TorThor. 24/2557 Re: Rules, Conditions and Procedures for
, e.g. commission, exercise fee, etc. These charges add to the Client’s investment costs and will affect loss and gain as well as the Client’s investment decision. Commission may vary depending on type
systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change