internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the

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

receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the

of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address

virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33

the Office of the Securities and Exchange Commission (“SEC Office”) prepare and submit the Audit Firm Profile and Details of the Audit Firms to which auditors are affiliated with the SEC Office. Table