Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document

granting of an approval under this Section shall be in accordance with the rules, conditions and procedures, and subject to the payment of fees, as specified in the ministerial regulations.

and Exchange Commission No. Kor Yor. 4/2547 Re: Prescribing Contracts that Are Not Subject to The Derivatives Act B.E. 2546 (2003) ______________________ By virtue of Section 4(3) and Section 9 of the

of the fourth paragraph or the fifth paragraph shall be subject to revocation by the Office of the approval given for such auditor. (As amended by Section 6 of the Securities and Exchange Act (No.2

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2

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

. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform