approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

performance of engagements? If no, describe how the firm determines appropriate working papers for an engagement and communicates to the engagement team? 3 Does the firm have a disclosure checklist for the

need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or

scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly

professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76

firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the

refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company

บริหารเหตุการณ์ด้านความปลอดภัย ด้านสารสนเทศ (incident response team) ( กำหนดขั้นตอนปฏิบัติสำหรับการรายงานเหตุการณ์ โปรดระบุรายละเอียดวิธีการ

, having an effectiveness and correct integrity and satisfies the need prior to transfer for operating in real condition. [M] · In the importance operation, there shall be an agency or independent team for

into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting