) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

prescribed in sub clause (3) of the first paragraph for any member of the provident fund in order that the member is able to select investment policy properly. Clause 31 For the purpose of compilation and

member is able to select investment policy properly. Clause 31 For the purpose of compilation and assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s

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

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with 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

Foreign Auditors in the Capital Market according to the (select only one that apply) Clause 6(1) of the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 Re: Approval

, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 7/3 3 To select credit rating information under clause 7/2, derivatives broker