-time or part-time auditors and individuals in the service delivery center) 3 Does the firm always acquire satisfactory references when engaging senior and high-level audit staff? 4 Does the firm examine
a high-level grouping of capital market regulators from all 10 ASEAN jurisdictions, namely Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia, Myanmar, Philippines, Singapore, Thailand and
representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and
Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past
governance.” Ms Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “SEC gives high priority to personal data protection and urges all SEC’s regulated entities as well as related parties to be
weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality
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
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
seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal
long-term, trust-based relationship is built between investor and investee, particularly when the conversation escalates to a high level (e.g. C Suite executives). • State-owned enterprises (SOEs) may