Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign
for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign investment funds (FIFs
defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed
instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules
. (2012) find that IT control deficiencies affect management forecasts. The management forecasts will be less accurate with the existence of material IT control deficiencies. 3 Why DO WE NEED To Audit IT
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control
securities or assets in which the mutual fund invests on the normal schedule, and such event is beyond the mutual fund management company’s control; (2) in cases where the redemption order is placed before or
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the Capital