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
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
valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in accordance with the rules as
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
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
service provider, the intermediary shall specify a measure for preventing conflicts of interest in accordance with Clause 7(3) which shall cover the segregation of operation and management arrangement
supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
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