cash equivalents as of … (beginning of period) Cash and cash equivalents as of ... (end of period) Supplementing information on cash flows …………………………………………. …………………………………………. The …………………… Securities
/ [(the number of employees at the beginning of the period + the number of employees at the end of the period)/2] Position Names – Last Names Leader of Audit Firm 1. Persons with the highest responsibility
policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
guideline above. 10.5 Personnel: specify the total number of the Company’s staff and that of each core business. In case of material change in the number of staff or a substantial labor dispute during the
limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque
ควบคุมคุณภาพงาน (EQCR) ผู้จัดการ(audit manager) และผู้ช่วยผู้สอบบัญชี (staff) ดังนี้ บริษัท ชั่วโมงการทำงาน ไตรมาส 1 ไตรมาส 2 ไตรมาส 3 งวดปี SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties