Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

] · Providing the trespass monitoring system and abnormally operating system via the network system whereas it shall monitor consistently the following matter at least [M] · Attempt to trespass via the network

sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring

, whether operating as a holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป

solicitation; (2) having a clause prohibiting the representative from appointing a sub-representative; (3) overseeing the representative to comply with the clause in the agreement and the rules on sale or

control and risk management regarding the operation of the agricultural derivatives business according to the type of license, including measures for overseeing the compliance with the laid-out policies and

enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3

countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good