issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of

system by the Audit Firm (internal monitoring) (1) Name of inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious

monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal

monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal

ICO investment, ICO portal’s fit and proper persons, and ICO portal’s monitoring of the newly proposed limits and disclosure requirements. Regulatory proposal Agree Disagree Do you agree with the

ำเป็น VDO clip มำตรฐำน ทั้งนี้ ผู้ประกอบธุรกิจสำมำรถพิจำรณำจัดท ำรูปแบบ presentation รวมถึง check list เพิ่มเติมได้ตำมวิธีกำรที่เห็นสมควรและสอดคล้องกับหลักเกณฑ์ที่ก ำหนด (8) self- monitoring Call back

ให้กระบวนการทดสอบ ส่งผลกระทบต่อการปฏิบัติงานน้อยที่สุด 5. การบันทึก จัดเก็บหลักฐานและติดตาม (logging and monitoring) 5.1 ในการจัดเก็บหลักฐานการเข้าถึงระบบ ฐานข้อมูล (authentication log) หากผู้ประกอบ