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
) cash and bank deposits; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on
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
agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into
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
management company appointed to have authority to invest for the fund; “Underwriter” means any securities company licensed to undertake securities business in the category of securities underwriting
securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and
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
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
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of