the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for 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

underwriting" means the underwriting of all or part of the securities from a company or owner of securities for sale to the public in consideration of a fee or other remuneration whether with or without any

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

that all information provided in this application and its attachments are true and correct. Full name as per Passport Signature Date signed (DD/MM/YYYY) Fast Track ISQC1 Paragraph 12 Network – A larger

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

Company audit client and all subsidiaries audited by the firm) will regularly be more than 15% of the firm’s annual fee income (or where Audit Engagement Partner profit share not on a firm basis, on that

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the