interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
the internal audit unit promptly and following up on such improvement. Notified this 11st day of October 2000. - Signature - (Mr. Prasong Vinaiphat) Deputy Secretary-General Acting Secretary-General
which the company is unable to maintain such adequacy, and inform the improvement to the Office within two business days from the date of the improvement. Clause 5 . During the period that the investment
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
issues for improvement (if any). 6. List of audit engagement clients in the previous accounting period and the associated fee For the purpose of conducting audit quality control system inspection, the
policies in various areas such as product creation, product improvement, or production technology, and disclose the expenses incurred from such research and development over the past three years. In case of
); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d) reporting the operations as