Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

Federation of Accounting Professions or justifiable in case of any difference therefrom). The applicant shall provide details of the company for which the applicant has affixed signature in giving opinions on

in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the

. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

other evidence. Clause 22. If it deems necessary and appropriate, the arbitrator may request the opinions on the dispute from relevant organizations, or may seek approval from the parties to have an

not affect his/her duty performance and giving of independent opinions. (2) Selection of directors and chief executives: specify whether or not the selection of persons to be a director and chief

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

Board, shall appoint a committee to [i] consider facts and evidence as well as propose opinions to the SEC Office relating to the consideration of the grounds for removing a person from the position