firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm

turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their

procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s

decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his

custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision

Initiative ................... 30 Table of Contents [ 6 ] BEYOND COMPANY ENGAGEMENT Engaging on Public Policy

to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was

engagement in the securities business of investment advisory service (IA): amending the conditions for exempting from engaging in IA; adding exemption from engaging in IA for personnel of foreign business

be actual expenses for engaging reviewers and / or consultants in the preparation of carbon footprint disclosure, but in any case not exceeding 50,000 baht per year.   The consultation paper is

have reviewed the criteria for licensing application and prevention of conflicts of interest, with involved parties engaging in the whole process. Results of the regulatory review will be completed in