Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
exchange? Yes No If yes, please specify the name and country of the stock exchange Do you have any experience relating to the audit of the financial statements of the public interest entities whose shares
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
able to complete the engagement within the reporting deadline. 4 Does the firm inform personnel of its acceptance and continuance of client policies and procedures? If yes, mode of communication. If no
in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a) Commercially Available? (b) Produced by an international firm of which the firm is a member? (c
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide 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
Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund