appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

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

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

the form as publicized in the SEC’s website. Signatures of audit firm’s leader and authorized director are required. (6) Photocopy of the applicant’s passport. Signature of the applicant to certify true

consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there

) Developed internally by the firm? If no, How does the firm ensure that assurance engagements are performed in accordance with auditing standard? How does the firm ensure that audit manual reflect recent