; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the

Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior

. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of

or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities

Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 9 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the

, which shall take into account the standards approved by the Board of Auditing Practices under the law relating to auditors. The financial statements under the second paragraph must be examined and given

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to

Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the