Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

นาย เฟรดดริค อีแอน แมคอินไทร์ ผู้บริหาร ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 0008/2557 ข้อ 31 วงเล็บ 2 เพิกถอน 30/09/2563 - 29/09/2571

Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the

Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the

operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to

operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to

operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for