Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following

, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws

operation before and after investment in order to enable the investment to be made prudently, carefully and appropriately. In this regard, for the purpose of: (a) the best interest of the customer or the

protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities

, the Client should carefully study and understand each category of contract specifications, including, but not limited to, type of underlying assets and variables, contract size/unit/multiplier, last

on the effectiveness of clients’ KYC/CDD measures and controls in case of omnibus accounts, or closely monitoring of clients’ transactions. Clause 16. Notwithstanding the provisions in Clause 15

categories so that licensed operators are able to offer a fully integrated services in respect of derivatives business similar to the case of issuance of license for securities business which is closely

all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair

may hold at any time. In consideration of pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the