underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the

operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should

that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the