membership; (5) the provisions regarding the number of committee members, the election and appointment procedures, the term of office, the termination of office, and the meetings of the fund committee; (6) the
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
reference. PAGE 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 38/2559 Re: Repeal of the Notification of the Office of the Securities and Exchange Commission regarding
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking