Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
, requirement, or policy made or given by or to be taken into account by the Recognised ACMF Member in its jurisdiction; “Licensed Firm” means any legal person authorised to undertake the business related to
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling