to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
the transfer of assets, rights and duties of the transferred mutual fund as specified in the fund scheme of the mutual fund which accepts the transfer of assets and the transferred mutual fund is
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A
precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives
) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in
know or should not have known that the acquired property has been disposed or transferred in breach of trust. SECTION 41 In managing a trust or delegating any person to manage a trust in accordance with
business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give