skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the
evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or
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
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that