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
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
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
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
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
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market
likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level
.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity
1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1