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
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for
, 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
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
hereunder as evidence. Signature: ...................................................... Signature: .................................................. (…………………………………………….) (…..…………………………………….) Authorized
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for