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

business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any

cover at least the following matters: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

, unless permission has been granted by the Office to open or close its office at any other hours or days.

of Foreign Auditors in the Capital Market (Fast Track) Clause 6(2) of the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 Re: Approval of Foreign Auditors in

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

ธุรกรรมเพื่อกองทุนกับบุคคลที่เกี่ยวข้อง บริษัทจัดการต้องทำธุรกรรมที่เป็นประโยชน์ที่ดีที่สุดต่อกองทุนในสถานการณ์ขณะนั้น (best execution) มีความจำเป็น และกระทำเสมือนเป็นทางค้าปกติ (at arm’s length transaction

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not