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) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
encompassing business control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
in practice and for the Office to inspect such practical operation. Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of April 2004. -Signature- (Mr. Somkid
make clarification in practice and for the Office to inspect such practical operation. (Translation) 5 Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable