Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether

of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

length transactions and (4) In the case where such transaction is crossed trade under the same management company. Such transactions shall be as follows: (a) If any counterparty or both are mutual fund

Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document

an arm’s length transaction. Clause 15/4 In seeking an approval of the unitholders to enter into a transaction under Clause 15/3, the mutual fund management company shall comply with the following

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any

ใบอนุญาตกองทุนรวมและกองทุนส่วนบุคคล ให้ส่งแฟ้มข้อความ AMC03.TXT ผ่านระบบ Investment Management Reporting System (IMRS) ส่วนบริษัทหลักทรัพย์จัดการกองทุนที่ได้รับใบอนุญาตกองทุนส่วนบุคคลเท่านั้น ให้ส่ง