management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional

, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with

and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...