responsibilities and powers, and adequate funding that is not under the control of the auditing profession, to carry out those responsibilities. Reference : https://www.iosco.org/library/pubdocs/pdf/IOSCOPD134.pdf 3
accordance with the Public Limited Act B.E. 2535 (1992), as amended. This Amalgamation is considered as business combination under common control, and to illustrate the impact of the amalgamation, the Company
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
การปฏิบัติงาน (control self-assessment : CSA) 4.3 จัดให้ผู้ตรวจสอบที่เป็นอิสระเป็นผู้ประมวลและรายงานผลที่ได้จากการดำเนินการตาม 4.1 และ 4.2 พร้อมทั้งรายงานข้อบกพรอ่งที่ตรวจพบและผลการปรับปรุงแก้ไขให้คณะ
. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control
Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the Capital