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
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
clear, and to amend the rule to be more flexible as that the use of proceeds which differs from what stated in the filing will be required to obtain an approval from a shareholders’ meeting only if the
going to obtain approval as auditor in the capital market work part-time for the audit firm, such audit firm shall have not less than two certified public accountants; (b) in cases where the audit firm
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
statements / information For the year ended for.............quarter ended Name of auditor affiliated with audit firm ( Financial statements audit ( Financial statements / information review · 1 . Unmodified
Name of auditor affiliated with audit firm Financial statements audit Financial statements / information review 1. Unmodified opinion 2. Qualified opinion due to (can choose more than one): ฆ 2.1
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the