,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์

company or a public limited company which is established to undertake securities business in the category of securities finance shall be as follows: (1) a financial institution under the Law on Loan

interest on loan of financial institutions ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities purchased to order; (f) receivables of margin loan and

issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance

ละเอียดการให้กู้ยืมเงินเพื่อซื้อหลักทรัพย์ รายการ จำนวนเงิน จำนวนราย 1. ยอดรวมมูลค่าหลักทรัพย์ที่เป็นประกัน 2. ยอดรวมมูลค่าหลักประกันอื่น 3. ยอดเงินให้กู้ยืมคงค้าง (margin loan) 4. ยอดรวม credit line

Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock