เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล           ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and

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

accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1

Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re

. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty

Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for