: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
) Checklist: - Submit Form 61-1F and evidentiary documents under Clause 15; - SEC official checks accuracy and completeness of the submitted documents in Clause 15; - If accurate and complete, the applicant
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Other Applications when the application and the evidentiary documentation are accurate and complete in compliance with the Licensing Manual for the Public. In the case where it is necessary for the SEC
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange