that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
promissory note, drawer of bill of exchange or deposit taker under Paragraph 2 is a bank established under specific law, the issuer rating under Paragraph 2 shall include support credit rating assessed by the
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
to provide services involving investment or transaction in consistency with risk tolerance of a client unless the client is as follows, such suitability may be whether assessed or not: (1) an
rating under Paragraph 2 shall include support credit rating assessed by the credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 18/3
.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity
, the credit rating shall include the support credit rating assessed by the credit rating agency based on the tendency that such bank shall receive financial aids from the government if necessary. Clause
1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1