Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in
advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
ให้บริการ (execution, delivery and product management) หมายเหตุ : 1 ให้บริษัทจัดทำและจัดเก็บข้อมูลไว้ที่ทำการเป็นประจำทุกปีภายในวันที่ 31 มกราคมของปีถัดไป 2 มูลค่าความเสียหายที่เกิดขึ้นให้หมายความรวมถึง
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross