matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund

of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by

as a cause for dissolution: (a) expiration of the license period under the regulatory sandbox in Paragraph 2 of Clause 5, or expiration of the extension period under Paragraph 4 of Clause 5, as the

the period in continuation of the period approved under the Notification No. SorKhor. 25/2547. Clause 15. The applicant for approval for investor contact who has qualifications and submits the

obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the

elements in TSQC 1, as follows: (1) Leadership Responsibilities for Quality within the Firm (2) Relevant Ethical Requirements (3) Acceptance and Continuance of the Client Relationship and Specific

the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to

the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to