scheme and prospectus or approved by the resolution from unitholders in case of Clause 15 or obtain an approval from mutual fund supervisor, or consent from clients or provident fund committee, as the case

private fund for which  it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of

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

of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality

guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the

management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be