SEC Office. “ risk haircuts mean the risk haircuts arising from the engagement in the derivatives business or any other operations of the derivatives broker . “ collateral ” means the total sum of the

; (4) other liabilities as stipulated by the Notification of the SEC Office. “ risk haircut ” means a risk haircut arising from the engagement in the securities business or any other operations of 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

provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the

Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach

หน้าที่เป็นผู้สอบบัญชีที่ลงลายมือชื่อเพื่อแสดงความเห็นในการสอบบัญชี (signing partner “SP”) หรือผู้สอบบัญชีที่รับผิดชอบงาน (engagement partner “EP”) หรือผู้ควบคุมงานสอบบัญชี หรือผู้สอบทานงานขั้นสุดท้ายก่อน

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

ในการสอบบัญชี (signing partner “SP”) หรือผู้สอบบัญชี ที่รับผิดชอบงาน (engagement partner “EP”) หรือผู้ควบคุมงานสอบบัญชี หรือผู้สอบทานงานขั้นสุดท้ายก่อนที่ผู้สอบบัญชีจะลงลายมือชื่อเพื่อแสดงความเห็นในการ