assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the

arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments

on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both

futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the

client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with