of control of the ………………………………………….…….. company O no 5.4 Having business relationship with a company, parent company, subsidiary, affiliate or person who may be in conflict in such a way as to obstruct

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

, the intermediary shall comply with Clause 11 and Clause 23(4) of this Notification only. Clause 4 The rules in detail under this Notification are prescribed to ensure that intermediaries comply with the

of the board of directors to ensure that the use of information technology in the business operation facilitates the intermediaries in achieving the specified goals with appropriate use of resources

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC Office; (6) record or any other past demeanor which indicates inappropriateness to be a

, or [ii] amendment, remedy or prevention against repetition of such similar facts or demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC

) Developed internally by the firm? If no, How does the firm ensure that assurance engagements are performed in accordance with auditing standard? How does the firm ensure that audit manual reflect recent

or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the

areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure