with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a

to ensure that any preparation and giving of advice adheres to the generally-accepted principles and that such advice is substantiated by reliable documentation, including taking into consideration

, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or

procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency

trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract for hedging purpose to

paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules

with the following conditions: (1) The advertisement related to ranking or awards on past performance of the fund shall be made only when it complies with the following rules: (a) the ranking or award

awards on past performance of the fund shall be made only when it complies with the following rules: (a) the ranking or award specified in the advertisement has been granted by an agency or institution