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

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

ของสัญญาที่ใกล้ที่สุด (Nearest Contract Month Series)

.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity

: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus

1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1

placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

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