demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies

securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to

or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes

” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted