Review Report) the results of the inspections with specific corrective actions? 3 Does the firm communicate the results of the inspections at least annually to engagement partners and other appropriate
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
established under specific law which are not persons under (9); (7) Bank of Thailand; (8) International financial institutions; (9) Government agencies and state enterprises under the laws on budgetary
derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates
procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
extending the liquidation period indicating the reasons for such request. The Office may grant a waiver on the liquidation period and may order the liquidator to undertake any specific actions to accelerate