obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

) certificates representing the rights to purchase investment units; (10) any other instruments as specified by the SEC.   "bill" means any bill issued for raising funds from the public as specified in the

assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange

transferring before maturity; 4. investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the

agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for