to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
the duties of fund supervisor correctly and completely; 3. Systems for supervising the custody agent to perform the duties delegated by the registered person, as specified by the Notification of the
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
relationship or gave professional services, or if the person appointed to be an independent director has or had a business relationship or gave professional services exceeding the permissible value under the
category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its
perform duties in accordance with the following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with responsibility and deliberation as a professional and
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in