to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of

[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended

the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary

the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions

where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a

such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor

investment in foreign securities, for example, lawsuits/ legal proceedings, investor protection rights related to corporate matters, restrictions related to money transfer to other countries (if any), etc. The

who makes a dispute resolution, except for the case under Clause 15. The parties shall select the arbitrator from the arbitrator list of the Office by the following methods: (1) the claimant shall