country in term of the quality of the audit oversight system ? Yes No If you answered “Yes” please skip to the question number 4.5 4.4 Is the audit oversight authority you registered with in the country
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
Commission Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
and corporate governance system in the preceding year 6.3.1 Describe, at least once a year, the information on material changes and developments related to the review on the policy, guidelines and