comply with all requirements. Yours sincerely, (Signature) ………………………………………….. (…………………………………………) Head of the audit firm………………………………. (Signature) ………………………………………….. (…………………………………………) Authorized person of
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
): ................................................................. (...............................................................) Authorized Person Binding the Audit Firm: ............................... Remark Audit firm’s leader and audit firm’s authorized person to affix binding signature shall affix signature together with audit
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the information of the natural person who is the ultimate shareholder of
communicated to that partner? 5 Does the firm have procedures to select EQCR for listed companies? 6 What criteria are set for person who eligible to be EQCR? 7 Does the firm have policies and procedures
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
join an audit client: (a) if a partner – has the firm ceased significant connections between it and this individual; (b) has work done by the person leaving been reviewed by a more senior audit