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
interest on loan of financial institutions ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities purchased to order; (f) receivables of margin loan and
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
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
Institution System; (3) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund and Loan Fund; “Advisor” means any person who
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the
the first paragraph shall not apply to the liquidation of property funds for solving financial institutions problems and property and loan funds. Clause 12. Where the liquidator is unable to perform its
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
ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์
authorized by the regulator having authority to regulate such scheme. Clause 2 This Notification shall come into force as from 16 January 2013. Notified this 21th day of November 2008. -signature- (Chaikasem