to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
Date : (Please attach a copy of identification card or passport) 1.3 Nationality : 1.4 Date of Birth : [ specify director or executive’s full name ] 1.5 Current Address : # Village / Building Moo Trok
), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of
up audit file in case of electronic working papers? 4 Does the firm have policies and procedures for the documentation of complaints and allegations and the responses to them? 119
derivatives broker shall calculate value of instrument or securities in which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name