and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees
availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
Certification Program (DCP) [ ] Director Accreditation Program (DAP) [ ] Audit Committee Program (ACP) [ ] Finance for Non-Finance Director (FN) [ ] The Role of Chairman (RCP) [ ] Understanding the
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day
(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant
Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a significant part of partner portfolio and/ or where client
the duties similar to fund manager. (2) Specific Rules (a) Being a manager of the management company or holding any position from second to manager down to department director whose role is responsible
of the operation or any other proceeding in a manner that reflects the role in the operation of such business. “v enture capital ” means a juristic person established under Thai or foreign law with the