Section 97 of the Securities and Exchange Act B.E. 2535 (1992) , which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34

service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following

) , including Section 18 Section 33 and Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in

,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance

or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of

notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance

Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks