1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production

’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an

Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks

Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy