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

the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator

oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact

partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors

, the management committee, the audit committee and the remuneration committee, and the scope of authority and responsibilities of each committee; (2) Identify the audit committee members who have

designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet

authorized by the regulator having authority to regulate such scheme. Clause 2 This Notification shall come into force as from 16 January 2013. Notified this 21th day of November 2008. -signature- (Chaikasem

an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of

, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect

the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the