person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its
guidelines in accordance with the laws, rules and regulations in the environmental area related to business operation of the Company and subsidiaries, by reflecting how the Company is committed to mitigating