the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the

, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index

, please provide us the results and check whether there is any corrective action for negative result. E Assignment of Engagement Teams 1 Does the firm have policies and procedures to monitor the workload and

there or have there been any principals or staff seconded on a “loan staff assignment” i.e secondment If so what are their roles at the client – are/were they in management positions? 7 Are there are any

ร้อยละ 80 ของ NAV เสี่ยงสูงมาก 8* กองทุนที่มีการลงทุนในทรัพย์สินทางเลือก - มีนโยบายลงทุนในทรัพย์สินที่เป็นทางเลือกใหม่ในการลงทุนหรือมีโครงสร้างซับซ้อน เข้าใจยาก เช่น commodity/gold fund /oil fund

enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal

appropriate risk management in a timely manner; (5) assignment of roles and responsibilities of the accountable persons and the responsible persons for the management of information technology risk under Clause

of having complied with such guideline, it shall be deemed that an intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in