to ensure efficient control and supervision of the service provider’s operation and management of the risks associated with the outsource; (6) consider the selection of a service provider with care as

client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

selection of accounting policy, observations or qualified opinion of the auditor on significant accounting items (if any), and the results of the implementation of the business plan and objectives in relation

changing date. In the case where the assets of clients under Paragraph 1(1) (2) and (3) are those for purchase or sale of securities in foreign country, the securities company shall segregate such assets in

management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

foreign country, a confirmation statement shall be sent to the client within the following business day or the day when the intermediary has received insistence on the transaction from the foreign country