, 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
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
เอกสารการกำหนด xx ) ☐ ไม่มี 3. บริษัทมีการกำหนด issuer/counterparty limit รวมทุกกองทุน (Firm-wide) หรือไม่ ☐ มี ( โปรดแนบเอกสารการกำหนด xx ) ☐ ไม่มี 4. บริษัทมีการกำหนด sector limit รวมทุกกองทุน (Firm-wide
E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
://publish.sec.or.th/nrs/9697p.xlsx QAQR-07.xlsx is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and
and activities of firm directly. 1. cutting Research and development (R&D) or expenses and advertising 2. premature revenue recognition by offering prices discounts, expand credit terms, sales of