Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
) Photocopy of the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm’s internal monitoring Signature
to comply therewith in all respects. In this regard, I would be pleased to provide additional information upon the SEC Office’s request for the benefit of the application consideration and the
experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
enclosed all relevant documents in support of this application, including the completed ASEAN CIS Application Form (as per Appendix II of the Handbook for CIS Operators of ASEAN CISs) which contains