for supporting continuity of operation in various incidents. In doing so, companies may consider on current situations, past testing results or possible impacts. The test and assessment shall, at least

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current

objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the plan for establishment of the

of the current assets as of the end of the latest financial year, (2) any lawsuit that affects the business undertaking of the Company or its subsidiary materially but the assessment thereof cannot be

by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested

and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client