Companies; (2) “securities” means any securities which are not debt instruments or investment units; (3) “securities company” means a company licensed to undertake securities business in the category of
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
element that the firm considers as high risk? Please describe the relevant responses to these risks A.1 Audit methodology and procedures: Firm's Reference /Guidance Notes Description 1 Does the firm use
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
; “Management company” means any mutual fund management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the