underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in accordance with the rules as
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned
_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and
Valuation Services: Does the firm conduct any valuation work for audit client –what is provided? 4 Actuarial Valuation Services: Does the firm provide any such services to audit clients? 5 Tax Services: Does
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as
/ Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matters และ Part II : The Product Restrictions of Qualifying CIS ซึ่งอยู่ใน Appendix C : Standards of Qualifying CIS ของ