of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5

internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

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