procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement

 virtue of law; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Assembly, as follows: SECTION 1. This Act shall be called the “Derivatives Act B.E. 2546

advice and consent of the National Assembly, as follows: Section 1 . This Act shall be called “the Provident Fund Act B.E. 2530”. Section 2 .** This Act shall come into force on and from the day following

Assembly, as follows: SECTION 1 This Act shall be called “the Trust for Transactions in Capital Market Act B.E. 2550.” SECTION 2** This Act shall come into force after ninety days from the date of its

Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliament, as follows: SECTION 1. This Act shall be called the "Securities and

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used

at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel

decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5