control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
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
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
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
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the