post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and

office shall operate within the scope that has been permitted and it does not need to provide every service as per its granted scope. Nevertheless, if the management company intends to expand the scope of

scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management

dealers in order that the derivatives dealers perform their duties with care, prudence and in the best interest of the client. Clause 8 The derivatives dealer shall not disclose false information or conceal

shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and

, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

Committee, etc., and the scope of authority and responsibilities of each committee; (2) identify the audit committee members who have knowledge and experience in reviewing the financial statements of the

, the management committee, the audit committee and the remuneration committee, and the scope of authority and responsibilities of each committee; (2) Identify the audit committee members who have