at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the
continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3
) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the
consideration by more experienced engagement team member. If yes, please describe the policies and procedures If no, how the firm obtains assurance that work done is appropriate? 6 Do the firm’s policies and
เกณฑ์ใหม่ตามสิ่งที่ส่งมาด้วย 4 3.2.2 experienced staff (1) การพิจารณาประสบการณ์การติดต่อและให้บริการลูกค้าในการ เสนอขาย product ร่วมกับคนขายมาไม่น้อยกว่า 10 ปี ในวันที่ประกาศมีผลใช้บังคับ สำนักงานจะ
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous