, 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

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

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

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of

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

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

intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in the Capital Market Business Clause 4 2 Personnel in the capital market

the service provider intends to assign another party to be a subcontractor at any level, the service provider shall obtain a written consent from the intermediary prior the assignment. Clause 22 In the

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...