asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
financial statements (paragraph........); ( 5.5 Significant mistakes in financial statements arisen after dissemination and the financial statements required restatement (paragraph........); ( 5.6 Others
investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3) back office
systems; (11) inspect records and evidence to detect potential issues arisen from the use of cloud service. 3.2. establish the service agreement between the cloud provider and the intermediary under Clause
technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
Clause 6 and Clause 6/1 has been complied with the specified regulations, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able
names, please also indicate their former names): 1) ………………………………. year of birth B.E. ……………... 2) ………………………………. year of birth B.E. ……………... 3) ………………………………. year of birth B.E. ……………... 2.8 Address appeared
shall update the list within 14 days as from the date of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed