assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3

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

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

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

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

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

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