Qualifying CIS Operator (as per Appendix I of the Handbook for CIS Operators of ASEAN CISs) [ ] 3* ASEAN CIS Application Form (as per Appendix II of the Handbook for CIS Operators of ASEAN CISs) [ ] 4

matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the

position. Handbook or operating guideline for staff must be prepared and up-to-date. 3. The personnel must perform their duties in accordance with the law and relevant rules and regulations including code of

together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group

Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there

guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure manual and compliance manual; (3