number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ
1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
. โครงสร้างองค์กร (Organizational Struture) 2. ขอบเขตของการทำธุรกิจและความเสี่ยงที่เกี่ยวข้อง (Business Profile and Risk Profile) 3. ระบบการกำกับดูแลการบริหารความเสี่ยง (Management Oversight) 4. ระบบการบริหาร