. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital
provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the
document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities
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
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
หน้าที่เป็นผู้สอบบัญชีที่ลงลายมือชื่อเพื่อแสดงความเห็นในการสอบบัญชี (signing partner “SP”) หรือผู้สอบบัญชีที่รับผิดชอบงาน (engagement partner “EP”) หรือผู้ควบคุมงานสอบบัญชี หรือผู้สอบทานงานขั้นสุดท้ายก่อน
ในการสอบบัญชี (signing partner “SP”) หรือผู้สอบบัญชี ที่รับผิดชอบงาน (engagement partner “EP”) หรือผู้ควบคุมงานสอบบัญชี หรือผู้สอบทานงานขั้นสุดท้ายก่อนที่ผู้สอบบัญชีจะลงลายมือชื่อเพื่อแสดงความเห็นในการ
to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and