Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the

elements in TSQC 1, as follows: (1) Leadership Responsibilities for Quality within the Firm (2) Relevant Ethical Requirements (3) Acceptance and Continuance of the Client Relationship and Specific

for the computer operation such as procedure for open-close system, procedure for assessment, procedure for monitoring the operation system effectiveness and compliance schedule etc. and modify

information, monitoring of systems performance, and operating schedule. The operating procedures should be reviewed and updated regularly and made available to relevant users; 2. The intermediary should