contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is

. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the

The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain

issued for the former shareholder. It shall disclose total right and remain including condition of exercise the right and involved encumbrance. 22. Additional paid-in capital (discount on capital)) means

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an