เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล           ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง

keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b

in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the unit responsible for custody of private fund assets

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

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