guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the
Firm level………………………………………………………………. (Please specify the inspected ISQC elements.) (4) Summary of inspection results …………………………………………………….… (Please specify risks associated with the non-compliance of the
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
of the investment committee. (2) Prescription of factors for investment decision to be comprised of at least the followings; - Analysis of overview domestic and international economy taking into
แต่ละงานสอบบัญชีโดยสรุป) (3.2) ระดับสำนักงานสอบบัญชี………………………………………………………………. (โปรดระบุ ISQC elements ที่ถูกตรวจ) (4) สรุปผลการตรวจสอบ………………………………………………………………………….(โปรดระบุความเสี่ยงที่อาจเกิดขึ้นจากกรณี
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of
Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient